I have a prospective client who want to send time sensitive financial recommendations to their customers via Campaign Monitor. They need to ensure that their email communications adhere to SEC email regulations, which I'm completely unfamiliar with. I did some initial research and found this info:
Proper Storage of Company and Corporation Emails
"One of the main requirements under a few different SEC and FINRA regulations is that businesses must maintain proper storage of historical company emails. This involves the act of archiving emails and keeping them indexed in such a way so as to produce them quickly. Email preservation with an email archiving solution can be completed with a SaaS solution or on-premise email archiving service.."
I found more detailed information regarding email archiving and mailing list requirements here:
"SEC rules 17a-3 and 17a-4 and NASD rules 3010 and 3110 require financial institutions to save their emails for at least six years and to be able to search and restore specific messages and threads in a short turnaround."
Have you had any experience with these regulations? What specifically do I need to be concerned with?
Is CM the right tool for the job? Do you know if CM's archiving and reporting is enough to meet these requirements? Any experiences you have sending email through CM that needs to meet these reqs. will be helpful.
I have requested that the company's lawyer provide us with more information, but thought I would check with the community here as well. Thanks in advance!
I have similar requirements - but I dont see an answer posted
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