Industries

Email & IM Compliance for Federal Regulations

 

 

Broker-Dealers

 

Stay compliant with FINRA rules, MSRB rules and federal securities laws and regulations through Presensoft's Compliance and Archive solutions. Effectively preserve all business communications and correspondence as required by broker dealer compliance obligations. Quickly search and retrieve conversations for periodic audits and keep records of latter activities. 

Learn More about Broker Dealer Compliance Solutions



 

Hedge Fund Advisors

 

Promptly prevent, detect and change any violations of applicable provisions, laws and rules under the SEC when using Presensoft's Compliance and Archive solutions. Receive instant notifications through Presensoft's real-time desktop and email alerts to remedy issues immediately.
 

 

 

Registered Investment Advisors

 

Keep up with compliance requirements set forth by FINRA and the SEC by actively creating and monitoring records in a secured manner that prevents alteration. Store and maintain communication archives for as long as necessary on Presensoft's cloud to remain in compliance as set forth by the regulatory bodies.
 
 
 
 

Energy Traders

 

Show documented records of compliance monitoring and enforcement to demonstrate proactivity in complying with CFTC and FERC regulatory regime. Presensoft's Compliance and Archive console allows investigation, audit, and reporting capabilities of all email and instant message communication efforts.
 
 
 
 
 
 

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