Compliance in 2010: Exploring Electronic Communication

2. Private company founded in Jan. 2001. Corporate HQ � Portland, Ore. Multiple geographically-dispersed data centers. 9000+ clients, historically concentrated in financial services. Growing into other highly-regulated/ litigious/transparent industries. Named the fastest-growing private company in state of Oregon for 2009 (Portland Business Journal). Also recognized as a member of Deloitte Fast 500 and Inc. 500 for 2009.

3. Regulations for Email

4. Other Critical Reasons for Archiving

5. Other Critical Reasons for Archiving

6. Capture & Archive

7. Review & Supervise Communications

8. Documentation/Proof of Surveillance

9. Policies & Procedures

10. New Developments and Trends in Archiving

11. Data Protection/Reg S-P Requires financial institutions that hold personal information to transmit and store this information in such a way that its integrity is not compromised. Rules specifically dealing with a firms ability to disclose nonpublic, personal information about consumers. The proposed amendments� goal is to help preserve client portability while protecting clients from identity theft.� Among the relevant provisions of the amendment: Broker/dealers and registered investment advisors would be required to develop, implement and maintain a comprehensive information security program appropriate to their size and complexity, the nature of their activities and the sensitivity of any personal information utilized. Coverage of the Safeguards and Disposal Rules would be extended to associated persons of a broker/dealer, supervised persons of a registered investment advisor and other industry participants. Safeguards and Disposal Rules would be extended to protect personal information, encompassing any record containing either non-public personal information or consumer report information. It would also include information identified with any consumer, employee, investor or security holder who is a natural person. Requires financial institutions that hold personal information to transmit and store this information in such a way that its integrity is not compromised. Rules specifically dealing with a firms ability to disclose nonpublic, personal information about consumers. The proposed amendments� goal is to help preserve client portability while protecting clients from identity theft.� Among the relevant provisions of the amendment: Broker/dealers and registered investment advisors would be required to develop, implement and maintain a comprehensive information security program appropriate to their size and complexity, the nature of their activities and the sensitivity of any personal information utilized. Coverage of the Safeguards and Disposal Rules would be extended to associated persons of a broker/dealer, supervised persons of a registered investment advisor and other industry participants. Safeguards and Disposal Rules would be extended to protect personal information, encompassing any record containing either non-public personal information or consumer report information. It would also include information identified with any consumer, employee, investor or security holder who is a natural person.

12. Social Media According to a recent report by the Pew Internet and American Life Project, 46 percent of American adults who use the Internet logged onto a social networking site in 2009, which is up from8 percent in 2005.1 Other studies have shown that use of social media sites by businesses to communicate with customers and the public has grown significantly in the past few years. According to a recent report by the Pew Internet and American Life Project, 46 percent of American adults who use the Internet logged onto a social networking site in 2009, which is up from8 percent in 2005.1 Other studies have shown that use of social media sites by businesses to communicate with customers and the public has grown significantly in the past few years.

13. Social Media

14. FINRA response to Social Media

15. Products & Services Email Archiving Message Archiving & Compliance Virtual Compliance Officer Instant Message Archiving Bloomberg Archiving Social Media Archiving smarshEncrypt & smarshDLP CRM Compliant Website Services Hosting Services Solutions for: Regulatory compliance, corporate governance & records retention Litigation readiness, proactive e-discovery and risk management Mail server data management Secure messaging, data-leak prevention Hosting Email continuity/disaster recovery Compliance in 2010

16. Case Study: Client A

17. Case Study: Client A

18. Case Study: Client B

19. Case Study: Client B Good example of leveraging technology to automate processesGood example of leveraging technology to automate processes

20. Choose Wisely

21. Questions, Answers, & Follow-up