Ensuring compliant behavior and end-to-end message supervision

Companies today are faced with significant regulatory and supervisory burdens. Companies must adhere to a myriad of governmental regulations, in addition to standards established by industry or self-regulatory organizations (SRO’s) such as FINRA or ISO. The global nature of financial services today also means that companies must be able act across jurisdictions and borders.

The Orchestria Messaging Compliance solution is the recognized leader in helping companies monitor, supervise and enforce policies in their messaging infrastructure including e-mail, webmail, instant messaging, weblogs and even message boards. The Orchestria solution is comprised of two key components, Real-Time Prevention and Intelligent Review. Together, they deliver a comprehensive solution that stops violations at their inception and enables supervisors to quickly search for and review policy violations.

Orchestria Real-Time Prevention

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Orchestria Real-Time Prevention accurately analyzes electronic actions before they occur. When violations are detected, it triggers an appropriate action as defined by policy. Real-Time Prevention can block the action, either silently or with an alert that appears on the sender’s screen. Orchestria can also provide end-users with detailed explanations of the problems, allowing them to instantly correct mistakes and complete a fully compliant action. Instant feedback also helps train the end-user to not make the same error in the future, further reducing the amount of non-compliant activity going forward.

Orchestria Intelligent Review
Orchestria Intelligent Review analyzes historical messages and files for violations and allows review personnel to quickly identify, review and escalate harmful activity. Intelligent Review offers human resources, compliance officers and other designated administrators the tools they need to focus exclusively on the violations that apply to their focus of control. Reviewers can easily search and sort events by message category, triggered policy, enforced action and message and attachment content.

With Intelligent Review, vital operational workflow is preserved and the flow of sending messages, conducting Web transactions and posting file activity is not lost in blind quarantines, waiting for approval. Orchestria enables intelligent workflow with:

• Relevant alarm routing
• One-click escalations and approval
• Pre-built escalation and response templates
• Tamper-proof audit trails

The ability to focus review efforts on true violations and not false positives enables officers to pursue corrective action, rather than wasting time sifting through queues of irrelevant messages.

Orchestria Pre-Built Policies
Orchestria offers several hundred pre-built policies to supervise and enforce a wide-array of regulatory requirements and industry standards. These configurable policies allow companies to quickly deploy Orchestria and to easily target specific areas of risk and regulatory requirements. Regulatory areas covered by Orchestria pre-built policies include:

1. Anti-money laundering
2. Business conduct or disclosure
3. Customer or public communication
4. Fraud prevention (such as collusion or bid-rigging, improper trading, dissemination of inside information)
5. Guarantees and recommendations
6. Heightened supervision
7. Information boundary enforcement

The complete Orchestria Product Suite. Click Endpoint, Network, Message Server and Stored Data for more detail on those products.

The Orchestria Product Suite
The Orchestria Product Suite provides a comprehensive and powerful Messaging Compliance solution with a single infrastructure and platform. Some of the products that are key to the Orchestria Messaging Compliance Solution are:

• Orchestria Network Control – Provide compliance control capabilities for data-in-use (saving and printing files) and data-in-motion (sending e-mails and using the Web) at the endpoint (desktops and laptops), even when disconnected from the corporate network.
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• Orchestria Review – Perform a complete review of communications with end-to-end workflow including searching, flagging, escalating, commenting and resolving.
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• Orchestria Reporting – Use pre-built reports to track violation trends and supervision progress.
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• Orchestria Policy – Hundreds of pre-built policies accurately analyze communications to ensure adherence to a wide range of compliance and regulatory requirements.
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The Orchestria Messaging Compliance Solution delivers many benefits. Orchestria can:

• Stop non-compliant activity before it occurs
• Ensure reviewers and supervisors spend their time on actual violations
• Influence end-user behavior to ultimately eliminate non-compliant behavior over time
• Provide a secure, permission-based approached to message supervision

The Orchestria Messaging Compliance Solution is the most accurate and complete solution to address the challenge of preventing compliance breaches while effectively supervising communications from multiple sources across the enterprise.

For more information, please click here to download the Orchestria Messaging Compliance brochure.