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Akonix L7
Compliance Manager
Manage SEC, NASD, HIPAA
and SARBANES-OXLEY compliance
Akonix L7 Compliance Manager (L7CM) is a comprehensive
solution for managing SEC, NASD, HIPAA, and Sarbanes-Oxley compliance. Built on
the strengths of Akonix L7 Enterprise, L7CM provides organizations with a
complete workflow for reviewing and auditing instant messaging conversations and
demonstrating compliance to regulatory agencies.
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Financial Services
NASD recently issued a Notice to Members stating that all member
organizations must log, archive, and retain records of all instant
messaging conversations.
Full Text
Also SEC Rule 17a-4 outlines the records to be preserved by certain
exchange members, brokers, and dealers. Although traditionally covering
only written agreements and guarantees, the rule has expanded its presence
over the last 5 years to include new communication technologies such as
e-mail, the Internet, and instant messaging. The recording
requirements as dictated by the SEC generally include both internal /
intra-firm communications as well as correspondence between broker /
dealers and their clients. Rules 17a-3 and NASD 3010 additionally outline
record keeping requirements and specifications for broker dealers.
Akonix L7 Compliance Manager allows organizations to
comply with SEC/NASD regulations. Akonix has also partnered with market
leaders such as iLumin, Iron Mountain, Legato, Persist, and Zantaz
to provide a comprehensive Email and Instant Messaging archiving solution.
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Healthcare
HIPAA regulations apply to all organizations that have
access to patient information. These organizations include hospitals,
clinics, insurance companies, labs, and many other types of organizations.
The use of public Instant Messaging within these
organizations exposes confidential information, making organizations
non-compliant. HIPAA also mandates that all electronic communication,
including instant messaging be archived.
Akonix Compliance Manger protects healthcare
organizations from leakage of confidential patient information, while also
providing the archiving, reporting, and auditing infrastructure to verify
compliance with HIPAA regulations.
See how PPMC Healthcare is using
Akonix's software to deal with HIPAA -->
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With L7 Compliance Manager, organizations can:
- Enforce "Chinese Wall" policies by allowing Reviewers, Auditors, and
External Auditors to only access approved conversations or annotations, based
on their roles or responsibilities
- Search message archives for messages that have specific patterns,
keywords, or that have triggered a policy set by the administrator (search
keywords are automatically highlighted for efficiency)
- Annotate individual messages or complete conversations, and mark them as
reviewed
- Escalate individual messages or conversations to supervisors and track
escalation performance
- Review and manage audit trails showing all of the touch points of
conversations, annotations, and reviews
- Allow internal auditors to annotate reviewed messages, and search
annotations
- Generate comprehensive reports on statistics, use, and performance to
demonstrate compliance processes to regulatory agencies
- Allow external auditors and regulatory agencies to verify compliance via a
web based interface
- Satisfy Write-Once-Read-Many (WORM) storage requirements
Akonix offers the ONLY instant messaging compliance solution that makes sure
that ALL instant messaging traffic is being captured, archived, and audited,
through the use of our patent-pending L7 Enforcer technology. Other gateways
can be easily circumvented and put organizations at risk of non-compliance. |
