The diversified financial services firm, operating across two business segments, faces intense regulatory scrutiny from FINRA, SEC, and IIROC, requiring formal retention and supervisory review for all digital communications. To streamline compliance and reduce review bottlenecks, Proofpoint enhances governance by securely capturing and archiving emails and other messages, enforcing retention policies, and routing content to the appropriate business and compliance reviewers. This enables up to 20 reviewers to work efficiently across teams, ensuring timely, auditable communications while maintaining strict regulatory standards. By leveraging Proofpoint, the firm strengthens its compliance program, speeds reviews, and mitigates risk across its global operations.

Join for free to read