Proofpoint Extends Enterprise Archive Leadership in Financial Services Compliance

Updates include enhanced supervisory review, expanded content support and CA Data Protection integration

SUNNYVALE, Calif., – March 19, 2015 – Proofpoint, Inc., (NASDAQ: PFPT), a leading next-generation security and compliance company, expanded capabilities today to enable financial services institutions to address complex, global regulatory compliance demands. Proofpoint enhancements include amplified supervisory review capabilities, direct integration with CA Data Protection (formerly Orchestria) and an expansion to the captured and archived content types including Jive, Jabber, Microsoft Lync Online and SMS.

“Proofpoint’s expanded functionality makes it easier for financial services firms to use new collaboration tools and meet global regulatory demands,” said Darren Lee, general manager of Archive & Governance for Proofpoint. “Streamlining client interaction via email, boosting productivity with social media and adhering to compliance can be a very complex task. Proofpoint is committed to helping firms meet their goals and simplify compliance.”

Proofpoint’s new enhancements support compliance with FINRA Rules 4511 and 3110, SEC Rules 204-2 and 206(4)–7), IIROC Rule 29.7 and Notice 11-0349 (Canada), and FCA (UK) archiving and supervisory requirements. Functionality includes:    

  • Supervisory review enhancements: Proofpoint’s Enterprise Archive for SEC/FINRA Compliance solution now features a streamlined, efficient review navigation system, a pre-approved content library to avoid false positives and a violation preview to easily identify violation items. Improved filter and layout functionality also provides greater readability for content review.
  • Direct archive integration with CA Data Protection: New integration unifies CA Data Protection’s messages in the Proofpoint Enterprise Archive for long-term retention. To reduce the overall storage footprint and total cost of ownership, CA Data Protection users can directly access and supervise this information.
  • Extended content archiving: Proofpoint Enterprise Archive capabilities capture new online and SMS/text content for easy search and management to ensure FINRA, FFIEC and SEC compliance. Covered online platforms include Jive, Cisco Jabber, Microsoft Lync Online (Office 365), Thomson Reuters, Eikon Messenger, Factset IM, Pivot IMTrader, UBS Chat, Squawker, Sitrion Social Workplace, Live Person and Oracle/ATG Live Help. In addition, Proofpoint archives Android SMS and Apple SMS content.

With the recent acquisition of Nexgate, a pioneer in social media security and compliance, Proofpoint also helps ensure broker-dealers, banks and insurance providers can meet specific social media regulatory mandates. These include real-time enforcement and intelligent archiving for FINRA Rules 11-39 and 2210(c)(6), SEC Regulation FD, FFIEC Regulations B, Z, DD and the Fair Housing Act, and UK Financial Conduct Authority guidelines for COBS 4.2 and PERG 8.22 as well as FTC requirements for Material Connections, Sweepstakes, and Truth-In-Advertising.

Proofpoint’s financial services enhancements are available through direct sales or channel representatives. Please visit for more information.

About Proofpoint, Inc.

Proofpoint Inc. (NASDAQ:PFPT) is a leading next-generation security and compliance company that provides cloud-based solutions for comprehensive threat protection, incident response, secure communications, social media security, compliance, archiving and governance. Organizations around the world depend on Proofpoint’s expertise, patented technologies and on-demand delivery system. Proofpoint protects against phishing, malware and spam, while safeguarding privacy, encrypting sensitive information, and archiving and governing messages and critical enterprise information. More information is available at


Proofpoint is a trademark of Proofpoint, Inc. in the U.S. and/or other countries. All other trademarks contained herein are the property of their respective owners.

Media Contact:                                                                           
Patricia Hogan
Proofpoint, Inc.