Archiving and Compliance
Proofpoint Intelligent Supervision helps streamline compliance. With it, you can supervise, monitor and report on all correspondence, including email. You can also reduce your enterprise compliance risks. And you can streamline regulatory audits and investigations. It’s fully integrated with Enterprise Archive for easy capture, review and reporting. That means complete visibility across your email, instant messages, collaboration tools, and social media.
Features and Benefits
Meet FINRA, SEC, and IIROC obligations quickly and effectively.
Your reviewers don’t need to work harder; they need to work smarter. Intelligent Supervision creates less “noise” for your review teams to monitor and sift through. That means you can pinpoint compliance violations faster and more accurately. Here are just a few of the benefits:
- Advanced violation detection. Ignore pre-approved content and waste less time reviewing false positives.
- Intelligent sampling by message type. Skip low-risk content, including bulk mail.
- Violation previews. Decide whether to review without having to read the entire message body.
- Advanced message filters. Target, refine and prioritize the review queue.
- Conversation threading. Group and review related messages in a single step.
- Review Sets. Build custom review queues from search results.
Complete Visibility Poor monitoring in the supervision process can slow regulatory response. Intelligent Supervision solves this problem in three powerful ways: It identifies bottlenecks, improves collaboration, and boosts productivity to reduce compliance risks. You get rich, visual reporting tools for all your archived content. And armed with actionable intelligence, you’re always at the ready to protect your firm.
- Compliance Risk Dashboard. Quickly identify users who create the biggest compliance risk and highlight their most frequent rule violations.
- Real-time oversight. Monitor the progress of review to identify review teams that are falling behind.
- Real-time alerts. Notify reviewers and compliance teams when queues grow beyond set thresholds.
- Productivity reporting. Enable compliance administrators to monitor and ensure that all reviewers are completing their assigned review work on time.
Stay Ready for Audits
Intelligent Supervision keeps you ready to respond to regulatory audit requests at a moment’s notice. With more analytics, real-time dashboards and collaboration features, you can simplify and optimize supervision as your data volume grows. Here’s how:
- All review activities are fully audited.
- Policy tracking allows you to demonstrate the history of rules, supervised employees, and reviewers at any point in time.
- Evidence of Supervision reports prove you are in compliance with your stated policy.
- You can easily export the full history of review activities and comments to auditors in the industry-standard format.
Integration With Proofpoint Enterprise Archive
Separate archiving and supervision tools increase your management overhead and costs. Intelligent Supervision is fully integrated with Proofpoint Enterprise Archive for easy capture, review and reporting. Enterprise Archive allows your financial organization to govern and discover a wide range of data to address all requirements outlined by SEC 17a3-4.