Financial

Communications Archiving: Financial/Insurance

Our clients use Donoma retention solutions to meet a wide range of finanical regulations including more commonly:

  • SEC Rule 17 a-4
  • FINRA Regulatory notice 07-059
  • FINRA Rule 4511
  • FSA Conduct of Business Rules (Rule 5.54 & Appendix 18)
  • Investment Advisers Act of 1940 Rule 204–2
  • ISO 15489 Information & Documentation Records Management

Donoma Retention Solutions Deliver:

Compliance:  Records are archived in real time based on user profiles.  Regardless of the end user’s activity, Donoma solutions archives and curates data for the designated time period.

Containment: Donoma retention products are designed as secure self-contained systems with complete audit trails documenting the lifecycle of the data.  Thus records are not subject to charges of contamination which can be claimed when records move between systems.

Speed: Quickly locate specific communication records for download/production, restoration or reporting. Time savings can be tremendous (minutes vs. days) and expense radically reduced.

Reduced storage costs: Because Donoma solutions archive so efficiently, less hardware and  management is needed.

Accountability: The ability to find messages and quickly respond to requests (or accusations) empowers an organization with  information.

Security: Our multi-level administration roles and full activity tracking ensures that there is complete audit trail reporting.

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