Key takeaways A communication audit confirms employee communications are captured, retained and retrievable in line with FINRA, HIPAA, SEC and GDPR. Regulated industries face audit mandates that require documented proof of communications monitoring and retention. Off-channel communications like WhatsApp, SMS and personal email are the biggest audit gap for most organizations. A defensible audit requires […]
Multichannel Communication Compliance: What It Is and How to Get It Right
Key takeaways Multichannel communication compliance requires organizations to capture, retain and produce business communications across every channel employees use. Regulations like Securities and Exchange Commission (SEC) Rule 17a-4, FINRA Rules 3110/4511, HIPAA, FOIA and the General Data Protection Regulation (GDPR) each impose specific recordkeeping obligations on different channels. Off-channel communications on unapproved platforms are a […]
FOIA Request: What It Is, How It Works and What Government Agencies Need to Know
Key Takeaways A FOIA request is a formal written request for records held by federal executive branch agencies under the Freedom of Information Act, enacted in 1966 Anyone can file a FOIA request regardless of citizenship or residency, but the law applies only to federal agencies, not to Congress, the courts or state governments Nine […]
Compliance Gaps: How to Identify and Remediate Them Before an Audit Does
Key takeaways Compliance gaps are discrepancies between what regulations require and what your organization actually does, and they carry serious financial and legal consequences. The most common sources include uncaptured communication channels, outdated retention policies, manual processes and weak ediscovery readiness. Most organizations discover gaps reactively during audits or enforcement actions, not through proactive assessment. […]
Data Governance Risk and Compliance: What It Is, How It Works and Why Archiving Matters
Key takeaways Data GRC is a structured approach that unifies governance, risk management and compliance into one coordinated program. A data GRC framework aligns policies, controls and regulatory obligations with business objectives, reducing duplicated work and blind spots. Regulated industries like financial services, healthcare and government face the highest data GRC stakes because recordkeeping failures […]
FERPA Compliance for K-12: Email Communication and Archiving Guide
Key Takeaways FERPA protects student education records at institutions receiving federal funding and gives parents, or eligible students over 18, control over how that data is disclosed. An email containing student grades, attendance, health data, or disciplinary information may qualify as an education record and must be secured, archived, and access-controlled. Common FERPA violations, like […]
How to Simplify Regulatory Compliance with Smarter Data Management
Key takeaways Regulatory compliance becomes unmanageable when communication data is scattered across email, chat, SMS, social media, and file-sharing platforms with no centralized record. The fastest path to simpler compliance is consolidating all communication data into a single, searchable, policy-enforced archive. Automated retention policies, legal holds, and audit trails replace the manual processes that consume […]
What Is Data Archiving? Definition, Benefits, and Best Practices
Key Takeaways Data archiving moves inactive communications and records into secure, indexed, long-term storage, separate from production systems. Compliance with regulations like SOX, HIPAA, SEC Rule 17a-4, and FOIA is the primary driver for most organizations. A strong archiving strategy requires cross-department collaboration, automated retention policies, and defensible deletion workflows. The right archiving solution should […]
Data Retention Policy Explained: A Comprehensive Overview
Key Takeaways A data retention policy defines how long your organization stores each type of data and how you dispose of it when the retention period ends. State and industry regulations (HIPAA, SOX, FINRA, GDPR, FOIA) mandate specific retention periods, and non-compliance can result in fines, sanctions, or criminal liability. A strong policy covers data […]
Archiving Text Messages: Why It Matters for Compliance, Ediscovery, and Risk Management
Key Takeaways Text messages, calls, and mobile chats are legally recognized business records in most regulated industries. Regulations, including FINRA, SEC, HIPAA, GDPR, and FOIA, require organizations to retain and produce mobile communications. Failure to archive has led to billions in fines, particularly in financial services for off-channel messaging violations. Enterprise archiving solutions capture messages […]
