Compliance Tools and Solutions

Compliance that stays on course.

RFA will always test the waters before you launch.

The financial industry is facing a growing number of state and federal regulations, many of which apply to or require the use of information technology. These regulations dictate how and when enterprises share information, with and among employees, partners and customers, as well as requirements for storing and retrieving records of these exchanges. Additionally, electronic security continues to be a major issue for firms in the financial industry. As a Hedge Fund manager, you not only need to keep abreast of the evolving security and compliance climate, your organization must prepare for it.

RFA has designed and implemented a turn-key solution to manage your messaging requirements. This pre-configured solution, RFA C1, can easily be added to your existing network, collecting Email, Instant Messaging and Bloomberg, providing a SINGLE SOURCE for responding to your compliance requests or internal deal tracking. Whether you need on-site data-warehousing or off-site message storing capabilities, RFA can help your firm find the appropriate mail and messaging archive and additional compliance products.

• Archival and permanent storage of all Email communications
• Archival and permanent storage of all IM communications
• Disabling of any non-approved IM products other than your approved platform
• Downloading of Bloomberg IM/Email directly from the source for addition to your compliance server
• Review tools for your Compliance Officer for internal
  management