Want to win a PS4? Go Premium and enter to win our High-Tech Treats giveaway. Enter to Win

x
?
Solved

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

Posted on 2010-09-23
6
Medium Priority
?
296 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
Prepare for your VMware VCP6-DCV exam.

Josh Coen and Jason Langer have prepared the latest edition of VCP study guide. Both authors have been working in the IT field for more than a decade, and both hold VMware certifications. This 163-page guide covers all 10 of the exam blueprint sections.

 

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

Hire Technology Freelancers with Gigs

Work with freelancers specializing in everything from database administration to programming, who have proven themselves as experts in their field. Hire the best, collaborate easily, pay securely, and get projects done right.

Question has a verified solution.

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

The main intent of this article is to make you aware of ‘Exchange fail to mount’ error, its effects, causes, and solution.
Here in this article, you will get a step by step guidance on how to restore an Exchange database to a recovery database. Get a brief on Recovery Database and how it can be used to restore Exchange database in this section!
In this video we show how to create an email address policy 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 Mail Flow…
This video demonstrates how to sync Microsoft Exchange Public Folders with smartphones using CodeTwo Exchange Sync and Exchange ActiveSync. To learn more about CodeTwo Exchange Sync and download the free trial, go to: http://www.codetwo.com/excha…

610 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