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 Compliance
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» Email Pre-Compliance
» Knowledge Management


Email Pre-Compliance


Email pre-compliance consists of an automated preview of all emails with the capability to embargo, or to direct a copy of, an email for a compliance review. Pre-compliance rules may look for inappropriate language, regulatory red flags (e.g. “guaranteed”, “great returns”) and/or Chinese wall violations (e.g. emails between investment bankers and research analysts). E-Trail Digital Archive provides clients with the ability to define server-based rules that fulfill all pre-compliance requirements.