Financial Visions Launches eKOMPLY Email Archiving and Management System for Financial Advisors

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Financial Visions, Inc., a leading provider of websites and email services for financial and insurance professionals, has announced the launch of eKOMPLY, an email management and archiving system that meets NASD, SEC, and NYSE compliance requirements. Designed for financial advisors, the system is powered by Smarsh Financial Technology Solutions. Features include email archiving and monitoring, keyword/phrase scanning, server-level spam filtering, firewall protection, and compliance officer review and reporting tools.

Financial Visions, Inc., a leading provider of websites and email services for financial and insurance professionals, has announced the launch of eKOMPLY, an email management and archiving system that meets NASD, SEC, and NYSE compliance requirements. Designed for financial advisors, the system is powered by Smarsh Financial Technology Solutions. Features include email archiving and monitoring, keyword/phrase scanning, server-level spam filtering, firewall protection, and compliance officer review and reporting tools.

“We are excited to provide a completely managed turn-key email archiving solution for our customers,” says Steve Anderson, President. “Our eKOMPLY service solves a critical problem for financial advisors who have been looking for an affordable and secure way to manage all incoming and outgoing email to meet detailed regulatory specifications.”

To satisfy the concerns of compliance officers, email messages are not only archived, but potentially problematic ones can be identified and retrieved for review. To minimize the workload on the compliance team, there is an auto scan function. An automated “agent” previews the emails as they are archived. When it finds any of the keywords, phrases, or other criteria specified by the client, it automatically takes action, flags those messages, and filters the list of messages needing visual inspection. Any mission-critical email is available when needed, with access available through the Web, Outlook, and other methods. All email and attachments are securely protected with dedicated servers, daily offsite/tape backup, redundant storage, power supply backup, and other security features.

“Many financial advisory firms do not realize that manual archiving processes, such as burning email batches to CDs, are not fully compliant,” continues Anderson. “Our system archives all messages to a permanent format in an automated process. There is no lag in the time a message is sent or received before it is archived, preventing any potential for deleting it or tampering with it. Along with its other retrieval, tracking, and reporting features, eKOMPLY is exactly what the auditors like to see.”

Since 1998, Financial Visions, Inc., has provided websites and support services to financial and insurance professionals. Customizable, template-based websites include a selection of hundreds of pages of content, online stock quotes, IRS forms and tax information, NASD-approved articles, and interactive quote requests for financial products. Clients are provided step-by-step, telephone support to set-up their sites, and convenient tools facilitate the compliance approval process. Detailed information is available on the Financial Visions website at http://www.fvisions.com.

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