SEC Compliant Email Hosting

EmailITP provides our clients with an SEC Compliant Microsoft Exchange enterprise environment. Client mail is hosted and redundant in one of our primary Data Centers and then replicated within a secondary data center located more than 300 miles away. This level of email redundancy within and between our data centers is a significant part of the Disaster Recovery Planning ITP supports for our clients.

With regard to SEC Compliance, our Exchange solution provides that all users' email will be journalized to meet SEC 17a-3 and 17a-4:

 

Rule 17a-4 states that “...every member, broker or dealer exclusively using electronic storage media for some or all of its record preservation” must have an arrangement with a third party who can provide the SEC with access to a broker-dealer's records upon request.

These rules specifically govern the topic of email archiving, and cover various aspects of email archiving. Some of the salient points that ITP delivers are:

  • Electronic business records must be archived for 3-7 years, depending on business;
  • Email messages have to be stored in a safe, tamper-proof way;
  • Email must be indexed properly;
  • Third-party downloader must be appointed by the company so access to the archived emails is possible;
  • Email must be archived in duplicate and stored in different locations.

These rules, as created and monitored by the SEC, were put in place to encompass and ensure the proper retention and maintenance of email which may have been sent to those outside the company, received from outside parties and through interoffice internal email. An ITP email solution, again, delivers this level of compliance.

Rapid advancement of Smartphone and Tablet computing has added an additional dimension with regard to email and email compliance. As your IT partners, ITP is acutely aware of not only the benefits but also the challenges and support these devices bring to your business. Rest assured, regardless of whether emails are sent from or to the office, and iPad, Blackberry, iPhone or other Smartphone device, ITP is your email solution and we are your answer to maintaining a compliant environment.