Countdown to Compliance

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Walter Tucker
10 years ago
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1 Countdown to Compliance 5 Take compliance off your IT staff s TO-DO list. Carbon is a hosted solution for compliance. No equipment to manage. No software to install. No time to waste. When the auditors call, give them our number. Let us handle the request. We are the required and designated third party for the FINRA, SEC, NASD, NYSE auditors. Later is now. January, 005 marked the last deadline for compliance. It s time to act. Carbon s zero-impact installation can have you compliant in hours or less. hosted compliance and archive Keep an eye on things. Know what your company is ing. As the designated compliance officer, you will be shown a random sampling of s. It s a compliance requirement but it s also good business policy. Keep it simple. Don t spend a fortune on complex technology that takes care of compliance as an afterthought. Carbon was specifically designed for compliance. Access your entire company archive from a secure web site.! Don t take our word for it. Try it. Go to and click demo it now Ready? call Carbon implemented a fully compliant solution for us in less than days. The web portal is easy to use and their search utility is superb. Nancy Cooper, Compliance Officer, Rhone Group 8 west 5th street, th floor, new york, ny 000, 88-5, sales@carbon .com doc ID

January, 005 marked the last deadline for compliance. It s time to act. CarbonEmail s zero-impact installation can have you compliant in hours or less.

2 Compliance Requirements for Financial Firms Audience : Member firms regulated by the FINRA, SEC, NASD, NYSE and FSA must capture and archive s for three to six years ( st years, easily accessible). Coverage : Business related internal and external s must be captured and archived. Mechanism : A regular and immediate process must capture all . s must be serialized and indexed for quick search and retrieve requests. Storage : s must be encrypted and stored on non-rewritable, non-erasable storage media. Duplicates : An additional copy of the archives must be created and verified for quality and accuracy. These copies must be stored in a separate location. Indexes : Indexes and corresponding archived messages must be available. Access : Upon request by a regulatory auditor, an interface with search, retrieve, print and duplication features must be made available within a short time frame. Audit : All access and changes to archives must be traceable. rd Party : A designated independent third party service must have access to all archived records. Carbon Features Carbon monitors the service and manages the compliance procedures. Carbon captures all s and archives them according to your specific requirements. s are indexed. Archives are created and encrypted. Archives are stored on read-only media and are subjected to a regular verification process for quality and accuracy. A second copy of the archive is stored at an alternate location. Audit settings are processed and logged as required. Benefits Hosted : Carbon is a hosted service. This means there is no hardware or software costs or installations at your site - no upfront capital investment. Maintenance Free : No ongoing maintenance by your IT staff. Minimal Change : Your services are configured to capture all s sent/received and forward a copy to the Carbon data center. Ease of Use : A secure and easy web interface provides access to account management, archive reports, audit settings and search/retrieve functions. Quick Setup : Typical installations take to business days. There is no disruption to your services during or after the install. doc id 0 rethinkit inc, 8 w st 5th street, th floor, new york ny 000, sales@carbon .com

Emails must be serialized and indexed for quick search and retrieve requests. Storage : Emails must be encrypted and stored on non-rewritable, non-erasable storage media.

3 S E R V I C E O V E R V I E W Your Company Your existing server operates normally, no intermediary server or extra software is installed. A configuration change is made to "blind copy" all incoming and outgoing to Carbon .com. Carbon servers archive all your . A secure web interface provides account management, reports, audit settings and search/retrieve functions. Internet Archives are encrypted and stored in two locations. Additional read-only copies are created for compliance. Your Clients Carbon servers doc ID 06 rethinkit inc, 8 west 5th street, th floor, new york, ny 000, 88-5, [email protected]

A secure web interface provides account management, reports, audit settings and search/retrieve functions.

4 Archive Search Instantly search your archive through the web interface. Auditing Random audits are automatically prepared according to customizable settings. rethinkit inc, 8 west 5th street, th floor, new york, ny 000, 88-5, sales@carbon .com doc ID 05

5 Your compliance solution. Your total solution. Carbon Add-On Services Compliance Blackberry Service Hosted Exchange Domain Registration Web Hosting IT Consulting hosted compliance and archive a service did575

Hosted Exchange Email Domain Registration Web Hosting IT Consulting

MICROSOFT EXCHANGE ONLINE ARCHIVING, DATA RETENTION AND RULE 17A-4 COMPLIANCE DATE: SEPTEMBER 22, 2015

MICROSOFT EXCHANGE ONLINE ARCHIVING, DATA RETENTION AND RULE 17A-4 COMPLIANCE DATE: SEPTEMBER 22, 2015 Executive Summary The Securities and Exchange Commission (the SEC ) requires broker-dealers and other