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Electronic communications, like email and now IM,
are subject to an increasing number of industry and government regulations,
and demonstrating compliance with the various rules and standards
presents a key challenge for today's organization.
Instant Messaging for business communications
- whether or not it's authorized - is widely considered a form of
electronic communication and subject to all rules and standards
applicable to email. That is, regulations (such as SEC 17a-4, NASD
3010, Sarbanes-Oxley, HIPAA, and Gramm-Leach-Bliley) now apply to
Instant Messaging - both public IM (such as AOL, MSN, ICQ, and Yahoo!)
and enterprise IM (such as Microsoft Live Communications Server
and IBM Lotus Instant Messaging).
Failing to comply with these regulations is no longer an inconsequential
slap on the wrist, but can result in significant financial and legal
liabilities. Regulations for electronic communications that apply
to Instant Messaging can be generally grouped into two categories:
- Information Control, Retention & Review
- Privacy Protection & Security
Information Control, Retention & Review
Companies are required to control who can IM with whom (such as
enforcing Chinese walls), to log and archive all IM, and to systematically
review messages. These regulations include SEC 17a-4, NASD 3010,
NASD 2711, NYSE Rules 440 & 342, Freedom of Information Act,
and Sarbanes-Oxley.
Control access to IM
- Access control by user, group & domain
- Flexible content & keyword filtering
- Chinese walls between groups
- Automatic screen name mapping
- Authorized access to all public IM
Log & archive all IM
- Log both public and enterprise IM
- Integrations with leading email archiving systems
- Zero message loss architecture
Review & audit IM
- Robust web-based search & retrieval
- Conversation annotation and escalation features
- Reviewer and auditor roles with review quotas
- IM compliance reporting
Regulation |
Requirement for Industry |
SEC 17a-3 & 17a4 |
Archive & review of electronic communications
FINANCIAL SERVICES |
FDIC |
Retention and review of all electronic communications
FDIC MEMBER BANKS & FINANCIAL INSTITUTIONS |
NASD 3010 & 3110 |
Retention and review policies for electronic communications
FINANCIAL SERVICES |
NASD 2711 |
Separation of broker-dealers from investment analysts
FINANCIAL SERVICES |
NYSE Rule 440 |
Retention of all order electronic communications
FINANCIAL SERVICES |
FERC/NERC |
Retention and review of all electronic communications
ENERGY COMPANIES |
Sarbanes-Oxley |
Availability of historical communications for audits and
Chinese walls for analysts
PUBLICLY TRADED COMPANIES |
Freedom of Information Act |
Control and retention of all records
FEDERAL GOVERNMENT AGENCIES AND CONTRACTORS |
21CFR Part 11 |
Retention and audit of "e-records"
LIFE SCIENCES & PHARMACEUTICALS |
5015.2STD |
Retention and audit of messages
DEPARTMENT OF DEFENSE |
Regulation FD |
Control over external communications
PUBLICLY TRADED COMPANIES |
Akonix Features For IM Compliance
» Logging and archiving all IM
conversations
» Real-time monitoring of flagged
messages
» Flexible web-based search and
retrieval
» Multiple user roles for systematic
audit of messages
» Annotation and email escalation
of flagged or blocked messages
» Tracking for % of reviewed messages
» Ad hoc or scheduled compliance
reports
» Access control to logs by group
» Flexible access control to enforce
Chinese walls
» Informative reports on policy
violations
Privacy Protection & Security
Companies are required to protect sensitive information
(such as consumer financial data) when using Instant Messaging.
Regulations include HIPAA Privacy and Security, Gramm-Leach-Bliley,
and California SB 1386
Akonix delivers the industry-leading solution to allow companies
to meet and demonstrate compliance with both categories of industry
and government regulations on Instant Messaging. Combining Akonix
L7 Enterprise with Akonix L7 Enforcer provides complete regulatory
compliance to enterprises while allowing them to continue to realize
the benefits of IM for business communications.
- Flexible content filtering
- Encrypted message log
- Access control by user, group and domain
- Internal message reflection
Regulation | Requirement
for Industry |
HIPAA | Protection of all patient health information
HEALTH-RELATED INDUSTRIES |
Gramm-Leach-Bliley Act | Protection of customer information
ALL INDUSTRIES |
California sB 1386 | SProtection of personal information
ALL CALIFORNIA INDUSTRIES |
EU Data Protection Act (EU) | Protection of personal information
ALL INDUSTRIES |
PIPEDA (Canada) | Protection of personal information
ALL CANADIAN INDUSTRIES |
» Flexible keyword & pattern
(such as SSN) filtering
» Message logs encrypted and protected
» Granular access control by user,
group and domain
» Internal message reflection to
keep data internal
» File transfer control by user
and file type
» Informative reports on policy
violations
If you would like to contact a member of our consultancy
team today please either telephone or email;
Tel: +44 (0) 1622 618 752
Email: sales@bii-compliance.com
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