Reaping the Benefits of Electronic Message Surveillance

Financial industry survey finds that supervision activities yield valuable information and reduce risk exposure

This survey was done to determine what the securities industry is currently doing to meet NASD and NYSE supervision requirements, and to enable organizations to compare their electronic message surveillance activities to industry benchmarks.

Some findings from the survey include:

64 percent of respondents sample a percentage of electronic communications across all their employees, while 36 percent only sample groups of users such as brokers, advisors or executives
Sampling size varies, ranging from 1 - 50 percent, with the median being 10 percent
95 percent of respondents said their sampling sizes have never been questioned by a regulator
83 percent of companies do not exempt any group of employees from the review policy (such as the legal department, CEO, compliance department)

To access the full survey report, please fill out the following form.

First Name * Last Name * Email Address * Title * Phone number * Company * Address *

City *

Zip/Postal Code *

State/Province * Country * Website

Number of Employees? What Email Messaging Platform does your organization currently use? If Other, please specify: What solution are you currently using to meet your surveillance requirements? Name of current vendor/solution:

With regards to your current solution, which of the following statements are true? Please check all that apply.

The system takes a long time to display messages for review
The system is not very flexible
It is difficult to search through the archive
I am unable to search attachments

When did you last change your monitoring/review system?

* required field

Request Document > Reset >

Fortiva

Reaping the Benefits of Electronic Message Surveillance