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Intelligent Supervision

Meet FINRA, SEC and IIROC obligations quickly and effectively. Supervise, review and report on all correspondence. 
Reduce compliance risks. Streamline regulatory audits and investigations.

Overview

Financial services firms face some of the world’s most stringent and complex regulations. Proofpoint Intelligent Supervision helps streamline compliance. 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

Smarter Review

Your reviewers don’t need to work harder; they need to work smarter. Intelligent Supervision creates less “noise” for review teams to 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.

Complete Visibility

Poor visibility 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 archived content. Armed with actionable intelligence, you’re always ready to protect your firm.

  • Real-time dashboards. Monitor the progress of review to identify review teams that are falling behind.
  • Productivity reporting. Compliance administrators can ensure that all reviewers are completing their assigned review work on time.
  • Real-time alerts. Reviewers and compliance teams know when queues grow beyond set thresholds.

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 management overhead and costs. Proofpoint Intelligent Supervision is fully integrated with Proofpoint Enterprise Archive for easy capture, review and reporting. Enterprise Archive allows financial organizations to govern and discover a wide range of data to address all requirements outlined by SEC 17a3-4.

The Need for Intelligent Supervision

Financial services firms face the world’s toughest regulatory scrutiny. FINRA, SEC and IIROC require formal retention and supervisory review programs for all communications. To ensure compliance and avoid risk, you need an audit-ready supervision plan.

Customer Stories

Our customers rely on us to protect and govern their most sensitive business data, not only for our leading technology, but our organization-wide commitment to making our customers successful every day.