SEC COMPLIANT MESSAGING

Regulations can often be onerous and costly. Many Broker-Dealers (BD’s) have rightly complained that the playing field is slanted upwards, and that only the large BD’s can afford compliance…

FivePoints provides a complete messaging solution that is fully SEC compliant. SEC regulations 17a-3 and 17a-4 require extensive record keeping, including e-mails and instant messages. In addition, NASD rule 3010 requires comprehensive supervisory processes and review of correspondence.

Our turnkey solution incorporates market leading products to allow BD’s immediate access to a pre-engineered, pre-integrated, and pre-implemented solution translating to immediate compliance with the above mentioned rules and regulations. While the solution was designed to inherently support extensive customization to meet your corporate policy, our consultant team, with years of experience designing and implementing compliant messaging systems, is available to provide even more granularity, if needed.

The FivePoints solution is built using industry leading products implemented at some of the major bulge bracket firms on Wall Street. The FivePoints hosted solution is offered at a tremendous discount to what it would cost to implement a similar solution in-house, all at an affordable predictable monthly fee.

FivePoints offers the following solutions:

	MessagePoint:	Hosted Enterprise E-Mail (powered by Microsoft Exchange 2003)
	ComplyPoint:	Hosted Messaging (E-mail & IM) Indexing, Discovery, and Surveillance (powered by KVS & IMlogic)
	SecurePoint:	Hosted Message Encryption and Rights Management Solution
	D3P:	Third-Party Download Provider - SEC Solution

TouchPoint is FivePoints' Web-based management tool that allows your firm to easily maintain control of its users and environment while limiting the amount of internal training the technical or compliance staff must undergo to learn how to manage their compliant communications systems.

Customization Concerns: We offer clients the ability to customize their set of rules based upon their business practices. The customization process involves a comprehensive review of your firm’s business practices and communications, as well as the overall supervisory structure. The result of this review is a custom-tailored surveillance and archive process that meets your firm’s unique needs.