The Ziegler Companies Inc.

Proofpoint's Email Archiving Solutions Appeal to Financial Services Firm

As a service provider in the securities and financial services markets, The Ziegler Companies Inc. is subject to a number of regulations that govern the retention and management of records, including email. The company chose a competing outsourced email archiving vendor several years ago. However, Ziegler's compliance department complained that the interface with the original provider was slow and unable to meet their growing needs. It was difficult for them to respond quickly to audits and e-discovery requests. After their contract came up for renewal, Zeigler decided it was time for a change.

Ziegler picked the Proofpoint Email Archiving Solution because it is much more than just a repository to archive emails. The fully managed solution allows Ziegler to implement and maintain an email policy, comply with amended regulations, review employee email, and search and retrieve relevant data, all with guaranteed data privacy.

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  • Proofpoint Email Archiving

Finding the right outsourced provider took us a couple of tries. There are now more options for outsourcing and Proofpoint emerged as the only one that effectively addressed our performance needs.

Scott Ried,
Vice President & Chief Security Officer
The Zieglar Companies, Inc.

adventist HealthSITUATION As a service provider in the securities and financial services industry, Ziegler faces numerous regulations governing the retention and management of corporate records including email. In order to effectively comply with these regulations, Ziegler opted to outsource their email archive three years ago. At that time, the team at Ziegler decided it made more sense to have a specialized provider manage this back-end business function so they could focus on their core business of providing financial services to clients.

“After doing a cost-benefit analysis, we decided that the nature of email archiving and the complexities involved made it a perfect thing to outsource,” commented Scott Ried, Vice President and Chief Security Officer of Ziegler. “We did the math, and if you add hardware and staffing, it is cheaper to outsource and not have to deal with it,” explained Ried. Ziegler was anxious to find an email archiving solution that would satisfy the needs of both Compliance and IT.

After assessing a variety of hosted email archiving services, Ziegler decided that Proofpoint's unique offering was what they needed. “Finding the right outsourced provider took us a couple of tries. There are now more options for outsourcing and Proofpoint emerged as the only one that effectively addressed our performance needs,” stated Ried.

Ziegler was impressed by Proofpoint's flexible supervision feature which allows authorized individuals to easily review employee email to ensure they comply with the corporate email policy. They also liked the fact that searches of the archive were easy to perform and produced real-time results. Finally, they were drawn to the Proofpoint Email Archiviing solution because of its unique security features. The firm was not comfortable exposing their critical business data to a third party, and Proofpoint provided them the option of outsourcing without taking that risk.

“After evaluating various providers, Proofpoint's data security guarantee with DoubleBlind Encryption™ became more than just a benefit—it became a requirement for us,” explained Ried, “And with their focus on continuously improving their service offering, Proofpoint is proving to be the 'next generation' of on-demand email archiving.”

Ziegler was impressed by the number of features offered by Proofpoint's fully managed solution. Beyond just archiving their email, Proofpoint allows them to create and maintain their email policy, comply with specific industry regulations, easily review employee email, have on-demand access to the archive, and quickly search and retrieve archived messages, all with guaranteed data privacy.

“We kept revisiting Proofpoint during our preliminary research process because of the many useful features offered by the solution, such as the ability to easily change supervision workflow procedures,” remarked Mary Hansen, Compliance Officer at Ziegler.

According to Ried, Ziegler typically faces at least two e-discovery requests a year. The Proofpoint solution equips Ziegler with the necessary tools that allow them to quickly and easily respond to legal discovery when needed. With Proofpoint's instant search and discovery functionality, their Compliance and Legal departments are able to respond to a request easily and on time; they no longer need to channel search requests through the IT department.

Proofpoint allows Ziegler to create, maintain and, most importantly, enforce email policies for retention and supervision.

With Proofpoint in place, Ziegler's supervision team members can log into the user interface and instantly see a list of messages that need to be reviewed, ensuring that no time is wasted in searching for messages that may violate the email policy.

The Ziegler Companies Inc. is a holding company for several financial services subsidiaries that offer investment banking, retail brokerage, asset management, and related financial services to individuals, businesses, and not-for-profit institutions. Ziegler has built its reputation in the financial market by providing a diverse selection of financial services for over 100 years. Based in Milwaukee, Wisconsin, the firm has a total of 350 employees.

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