For compliance and legal teams at U.S. financial services firms, effective supervision of digital communications is essential to meeting regulatory obligations. SEC Rule 17a-4 and FINRA Rules 3110 and 2010 require firms to capture, retain, and supervise business communications—and the cost of non-compliance can be significant.

But is your Digital Communications Governance and Archiving (DCGA) solution equipped to help you confidently meet these requirements and demonstrate compliance?

Join us for this two-part webinar series to learn the essential capabilities every modern DCGA solution should provide and see how Proofpoint's Supervision technology helps many of the world's largest financial institutions streamline compliance, reduce risk, and effectively supervise digital communications across today's evolving communication channels.

Part 1 Replay

Part 2 Replay

Your current supervision solution may help address regulatory requirements—but is it helping you reduce compliance risk, improve reviewer efficiency, and lower the cost of supervision? If you're unsure, join Proofpoint to see how a modern Digital Communications Governance and Archiving (DCGA) solution can transform your compliance operations.

Proofpoint Capture enables you to capture and preserve business communications across channels and archive them in virtually any compliant repository. Proofpoint Supervision uses AI and machine learning to intelligently prioritize risk, dramatically reduce false positives, and help reviewers focus on the communications that matter most.

In this recorded 30-minute session, we'll spend less time on slides and more time demonstrating:

• The essential capabilities every proven DCGA solution should deliver
• How Proofpoint Supervision streamlines flagged content review, triage, and disposition
• How AI and machine learning can reduce review noise by up to 98% while improving alert precision and helping compliance teams identify true sources of regulatory risk

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For financial services firms, social media presents unique compliance challenges. FINRA requires firms to supervise business communications on social platforms to help protect investors from false or misleading claims, exaggerated statements, and material omissions. As social content becomes increasingly dynamic and real-time, extending supervision beyond traditional email requires purpose-built technology.

Join us for Part 2 of this webinar series to see how Proofpoint helps firms simplify social media governance. You'll learn how Proofpoint Patrol enables compliant engagement across today's leading social platforms by automating content review and reducing compliance risk before problematic content is published or widely shared.

In this interactive 30-minute session, we'll:

• Review key FINRA requirements for supervising social media communications
• Demonstrate how Proofpoint Patrol simplifies supervision across both static and dynamic social content
• Show how to automate social media monitoring and supervision at scale, helping compliance teams reduce risk while enabling compliant digital engagement

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