Message surveillance for compliance and internal policy enforcement

The ability to automatically monitor email and instant messaging communication for specific content enables you to take appropriate action to comply with internal policies and external regulations. This eliminates the risk of lawsuits, loss of confidential information and complies with regulations such as U.S. NASD 3010 mandating the supervision of employee communications.

Supervision helps you mitigate the risks associated with messaging by scanning the content of all archived email, instant messages and attachments for suspicious content. When suspicious content is found, Supervision automatically routes the message to the appropriate supervisor's queue for review and action.

Supervision supports regulations in the following industries:

Financial Services

  • SEC 17a-4 (17CFR 240.17a-4)
  • Gramm-Leach-Bliley Act (GLBA)
  • Patriot Act
  • Sarbanes-Oxley
  • Office of Foreign Asset Control (OFAC)
  • Bank Secrecy Act:

Investment Banking

  • Sarbanes-Oxley
  • FSA
  • SEC 17a-4 and 17a-3
  • NASD 3010
  • UK Combined Code


  • Sarbanes-Oxley
  • ADA
  • OSHA
  • UK Combined Code


  • Health Insurance Portability and Accountability Act of 1996 (HIPAA)
  • Medical Conditions of Participation

Public Sector

  • Freedom of Information Act


  • FDA Title 21, Part 11

Travel and Hospitality

  • UK Combined Code
  • CAA Approved

Features and Benefits

Supervision makes the response to regulatory audits easy by providing comprehensive, real-time reporting on the complete review process.

Reduce messaging risks

Automated content scanning deters employees from engaging in correspondence that violates corporate policies and regulations.

Support for regulatory audits

Highly configurable review criteria, processes and roles enable supervisors to review/approve/reject messages in bulk or individually, or escalate for further review.


Configurable for small departments to global enterprises, supporting multiple email infrastructures.

Demonstrate compliance with content filtering and surveillance

Process automation capabilities detect undesirable and confidential content using keyword and phrase triggers for audit, risk management and remedy.

Secure, non-tamperable preservation of messages

Records are secured and preserved in their original format on tamperproof storage.





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