?
Solved

How do I reconcile an Exchange 2003 archive mailbox for a FINRA audit

Posted on 2010-09-23
6
Medium Priority
?
295 Views
Last Modified: 2012-05-10
I need to confirm that all emails that pass thru my exchange server were indeed archived
0
Comment
Question by:Barry-f4
[X]
Welcome to Experts Exchange

Add your voice to the tech community where 5M+ people just like you are talking about what matters.

  • Help others & share knowledge
  • Earn cash & points
  • Learn & ask questions
  • 3
  • 3
6 Comments
 
LVL 6

Expert Comment

by:J P
ID: 33751709
is there a particular finra/sec rule that needs to be addressed?
0
 

Author Comment

by:Barry-f4
ID: 33755304
All emails that pass thru the email server of a financial institution must be archived. When a FINRA auditor arrives on site, how would he determine that an email(s) may have been deleted deliberately or unintentionally from the exchange database? Is there a tool that can be used or is there a native exchange utility that can be used
0
 
LVL 6

Expert Comment

by:J P
ID: 33760270
hmm as a standalone there is nothing in exchange 2003 that i know of that would make you complaint
however, from your archving perspective, usually i believe finra asks for compliance to sec rules 17a-3 and 17a-4
you would need to consult your archiving solution (hardware/software/hosted) for letters of attestation stating compliance to these rules
0
Technology Partners: We Want Your Opinion!

We value your feedback.

Take our survey and automatically be enter to win anyone of the following:
Yeti Cooler, Amazon eGift Card, and Movie eGift Card!

 

Author Comment

by:Barry-f4
ID: 33760925
Thanks. Is there a third party solution that you recommend or prefer and why (GFI, Darracuda etc.)?
0
 
LVL 6

Accepted Solution

by:
J P earned 2000 total points
ID: 33764209
if hosted, liveoffice they are the market leader per gartner and one good price point is unlimited storage model
if in house, symantec enterprise vault /w compliance accelerator agent, highly scalable + other agent add-ons available

both compliant to to finra/sec

cheers
0
 

Author Comment

by:Barry-f4
ID: 33764220
Thanks
0

Featured Post

Are your AD admin tools letting you down?

Managing Active Directory can get complicated.  Often, the native tools for managing AD are just not up to the task.  The largest Active Directory installations in the world have relied on one tool to manage their day-to-day administration tasks: Hyena. Start your trial today.

Question has a verified solution.

If you are experiencing a similar issue, please ask a related question

Check out this step-by-step guide for using the newly updated Experts Exchange mobile app—released on May 30.
New style of hardware planning for Microsoft Exchange server.
To show how to generate a certificate request in Exchange 2013. We show this process by using the Exchange Admin Center. Log into Exchange Admin Center.:  First we need to log into the Exchange Admin Center. Navigate to the Servers >> Certificates…
The video tutorial explains the basics of the Exchange server Database Availability groups. The components of this video include: 1. Automatic Failover 2. Failover Clustering 3. Active Manager
Suggested Courses

770 members asked questions and received personalized solutions in the past 7 days.

Join the community of 500,000 technology professionals and ask your questions.

Join & Ask a Question