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E-discovery and Compliance Services

New compliance rules which went into effect in December 2006 require businesses involved in federal court cases to identify, preserve and collect electronically stored information.

These new compliance rules are the latest among a slew of regulatory requirements that govern the storage and recovery of electronic information. Most U.S. employers are subject to data retention regulations from the following:

• Americans with Disabilities Act (ADA)
• Title VII of the Civil Rights Act of 1964
• Occupational Safety and Health Act
• HIPAA

All public companies have to comply with the Sarbanes-Oxley Act of 2002, which was created in response to large corporate scandals by such companies as Enron. Financial services firms also have to contend with SEC Rules 17a-3 and 17a-4 as well as NASD 3010.

Unfortunately, most small- and mid-sized businesses lack the necessary IT personnel, tools and training to comply with these new regulatory requirements.

FivePoints Compliance Services

To address that need, mindSHIFT offers electronic discovery, archiving and compliance services to small- and medium-sized broker-dealers, law firms and other organizations through its FivePoints group. These services provide a fully managed messaging platform that’s compliant with numerous regulations.

mindSHIFT’s comprehensive hosted messaging solution complies with the strict regulatory requirements of the regulatory bodies listed above, plus:

• NASD: 3010, 3110, 3510
• NYSE: 342, 440, 446
• SEC: 17a-3, 17a-4, 204-2
• FSA: Financial Services and Marketing Act 2000, Data Protection Act 1998

mindSHIFT’s premier Compliance solution offers five distinct services for email and instant messages: complete message management, surveillance, archival, discovery and protection:

• Management. Expert staff from mindSHIFT’s FivePoints group fully manage the solution: security and patch management, hardware procurement and maintenance, software procurement, engineering, maintenance and upgrades, disaster recovery, business continuity planning and testing, and ongoing integration tasks.
• Surveillance. Through the Compliance Accelerator, mindSHIFT offers granular surveillance rules and processes, across all of a company’s electronic communications: Bloomberg mail, Reuters messaging, enterprise email, enterprise IM,and public IM. These capabilities support NASD 3010.
• Archival. Supporting SEC 17a-4, mindSHIFT uses EMC Centera and Sony AIT WORM tapes to archive company data on non-erasable, non-rewriteable media.
• Discovery. Retrieving messages is fast and simple. Instead of searching for messages for hours, days, weeks, or even months; mindSHIFT leverages indexing technology embedded in the FivePoints/KVS K-Vault product. This allows for discovery and retrieval to occur in minutes or even seconds.
• Protection. mindSHIFT places the highest priority on protecting company data. From redundant, locked-down firewalls to state-of-the-art spam and virus control to a superior patch-management system, mindSHIFT is there to ensure company data is safe. mindSHIFT routinely undergoes third-party security audits to identify any concerns so that they can be quickly resolved.

While specifically targeted towards small broker-dealers and financial firms with turnkey implementation and predictable and affordable monthly fees, the solution is easily scalable for large enterprises.

Benefits of the mindSHIFT Compliance Solution

Whether it's security and compliance solutions, or messaging services, mindSHIFT delivers: