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

Posted on 2010-09-23
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Last Modified: 2012-05-10
I need to confirm that all emails that pass thru my exchange server were indeed archived
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Question by:Barry-f4
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6 Comments
 
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Expert Comment

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

by:Barry-f4
ID: 33760925
Thanks. Is there a third party solution that you recommend or prefer and why (GFI, Darracuda etc.)?
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J P earned 500 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
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Author Comment

by:Barry-f4
ID: 33764220
Thanks
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