• Unified Global Archiving

Trevor's Tips


Posted by: Trevor Berninger

Date: January 24, 2020

Supervisor


Situation

For many years, financial services regulators [such as the SEC, FINRA, European Union and Canada’s IIROC] have required enterprises to monitor employee communications as a means of proactively identifying and acting upon employee wrongdoing or criminal activity. However, today’s explosion of enterprise data and the emergence of new communication platforms have made it increasingly difficult for organizations who have historically monitored these transmissions to remain compliant. In addition, the advent of data privacy regulations such as the EU’s GDPR and the California Consumer Protection Act, as well as impending response to corporate malpractice in the pharmaceutical industry, will make Supervision not only a best practice but a requirement, for many industry verticals outside of financial services as well. For these reasons, enterprises need supervision practice in place to help protect themselves from threats, both regulatory and internal.

Impact

EAS 9.0 Supervisor delivers the continuous monitoring and intelligent, policy-based sampling of workforce communications your enterprise needs to remain squeaky clean for compliance, protect itself against HR complaints about instances of employee impropriety, and act as a safeguard for the leakage of intellectual property and data loss prevention. With EAS 9.0, supervising corporate data is EASier than ever, as this remarkable application provides compliance teams with automated record keeping and supervision policy enforcement. By doing so, EAS 9.0 empowers compliance teams to spend their time investigating and remediating potential violations before they make front-page news.


Benefits

Organizations that deploy EAS 9.0’s supervision application reap the benefits of a unified archive and monitoring platform the entirety of the enterprise’s communications estate, whether email, mobile communications, or other trade/instant messaging platforms. EAS 9.0 has become the premier solution for the application of both long-term retention and supervision requirements mandated by FINRA, SEC, MiFID II, and Public Record Laws, by providing an easy-to-use, policy-driven application for implementing nuanced supervision criteria and lexicons. From there, EAS Supervisor’s case management workflow and search capability provides an intuitive experience for compliance teams to efficiently collaborate on investigations, and demonstrate compliance.


While compliance teams within the government and financial services industries have practiced compliant supervision for years, EAS Supervisor is delivering emerging benefits to additional industry verticals and business units within the enterprise as well. For HR and Internal Audit teams, deploying supervision has proven useful for proactively identifying and acting upon inappropriate [and sometimes criminal] conduct within the enterprise before these activities become widely known issues. For business units such as risk management and information security, EAS 9.0 Supervisor monitors the flow of information in and out of the enterprise and flags potential instances of data leakage, employee malfeasance, and even MeToo/HR violations.


In today’s competitive business environment, enterprises can not be hindered by non-compliance and must embrace new technologies, policies, and business practices to maximize data value while protecting themselves from emerging data threats. These include not only privacy regulations such as GDPR, CCPA, FINRA 4511 and SEC 17a-4, but also internal threats such as intellectual property theft and bad actors in the enterprise. Thankfully, for our legacy worldwide EAS user base, EAS 9.0 Supervision has been completely rebuilt to meet the needs and demands of today’s enterprise. With free EAS 9.0 licensing for legacy customers such as yourself, all you have to do is call 716.229.8921 to learn how easy compliant data archiving and supervision can be for you with EAS 9.0.

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