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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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by:J P
ID: 33751709
is there a particular finra/sec rule that needs to be addressed?
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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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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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Are your end users making ugly email signatures?

Have you left it up to your end users to create their own email signatures? Are they forgetting to add the company logo or using garish font colors? Take control and ensure all users have the same email signature.

 

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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