Mimecast’s Supervision solution helps financial services firms meet regulatory requirements by enabling systematic review and discovery of all communication types, including email, social media, and instant messaging. It supports the establishment of supervisory policies, protects client record privacy, and monitors communication accuracy to minimize risk. Mimecast’s solution streamlines supervision workflows, making it easier for compliance personnel to identify potential risks and ensure adherence to regulations such as FINRA, SEC, IIROC, and FCA effectively and efficiently.

Join for free to read