Proofpoint, a next-generation cyber-security and compliance company, announced the release of Proofpoint Intelligent Supervision, designed to significantly accelerate FINRA, SEC, and IIROC compliance review and reduce audit time.
With native support across e-mail, social media and enterprise collaboration platforms, Proofpoint makes it easy for large financial services organizations to quickly respond to regulatory audit requests and pinpoint compliance violations.
Every six months, regulated financial services firms face FINRA, SEC and IIROC audits. These organizations are required to establish supervisory policies, implement safeguards to protect client record privacy, monitor disclosure accuracy and authorize any alterations. Each must prove they supervise their broker/dealers across every type of communication, including email, public social media, enterprise collaboration and instant messages.
Key Proofpoint Intelligent Supervision features include:
Proven enterprise scalability: Proofpoint Intelligent Supervision can scale to review hundreds of thousands of monitored employees across thousands of review teams.
Industry-first dashboards and reporting: Extensive reports provide compliance officers insight into the review process and the necessary tools to meet regulatory audit requests quickly and easily.
Streamlined review: Reviewers can access snippet views to determine message content and attachments. Rich polices help organizations ensure true-positives.
By combining context-aware detection rules and its patent-pending Deep Social Linguistic Analysis detection, Proofpoint Intelligent Supervision reduces time spent on compliant communications. Reviewers can pinpoint violations faster and more accurately across broad communication and data types.