ZL Compliance Manager

A DEFENSIBLE AND COMPREHENSIVE COMPLIANCE SOLUTION

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 Compliance (data sheet)
 Top 5 Global Bank (case study)

ZL Unified Archive’s Compliance Manager is a powerful supervisory and workflow tool for maintaining and ensuring compliance with regulations such as FINRA, SEC 17a-4, NASD 3010, HIPAA, FRCP, Sarbanes Oxley, FERC Standards of Conduct, and others. With Unified Archive regulated organizations can defensibly and efficiently retain and supervise electronic correspondence, quickly satisfy audits by regulatory bodies and even prevent violations before they occur.

RETENTION, CLASSIFICATION, AND SUPERVISION

ZL Compliance Manager defensibly captures and retains all chosen electronic correspondence across data types such as email, IM, Bloomberg, BlackBerry and social media. To inform retention, compliance officers create policies to automatically classify documents based on content and/or characteristics. Noncompliant messages are flagged and sent to compliance reviewers who have a range of options at their disposal for responding to a potential breach.

STOP VIOLATIONS BEFORE THEY OCCUR: PRE-REVIEW

ZL Compliance Manager’s integrated Pre-Review capability automatically scans all emails and attachments for potential violations before leaving the corporate network. Thus, prohibited content is blocked and addressed before liability can arise.

ADVANCED REVIEW INTERFACE

Unified Archive provides a review interface which supports multiple review actions, including reviewed, pending, targeted release, questioned or flagged for further action. Actions can be performed on an individual message level or in bulk. Additionally, Compliance Manager can support sampling quotas, so reviewer efficiency is maximized.

GUARANTEE DATA INTEGRITY: AUDIT TRAILS AND REPORTS

Unified Archive maintains comprehensive audit trails to guarantee accountability and data integrity. This rigorous and highly detailed audit system provides a digital chain of custody that has consistently exceeded the requirements set by US regulatory agencies. Configurable audit reports can be scheduled, auto-generated and forwarded to any email address.