AXS-One Supervision™
Message Surveillance for NASD 3010 compliance and internal policy enforcement

Overview | Benefits

Employee use of company computer systems, like e-mail and instant messages, can open any organization to electronic risks including contractual lawsuits, sexual harassment claims, and exposure of confidential information, as well as infringement of regulations such as NASD 3010 mandating the supervision of employee communication. According to the 2004 Workplace E-Mail and Instant Messaging Survey (2004) conducted by the American Management Association and The ePolicy Institute, 21% of companies have been ordered by courts to produce employee e-mail. With high profile corporate governance cases and unprecedented fines and legal damages involving e-mail, organizations, now more than ever, are motivated to supervise the use of their messaging systems. Fines for NASD 3010 can be severe. The SEC fined five of the world’s largest investment banks over USD $8 million dollars for having inadequate procedures and systems in place for the retrieval of email as defined by SEC 17a-4.

Monitor and Control Corporate Communications

AXS-One Supervision helps organizations mitigate the risks associated with messaging by scanning the content of every archived e-mail, instant message and their attachments for suspicious content using lexical analysis. When suspicious content is found, AXS-One Supervision automatically routes the message to the appropriate supervisor’s queue for review. Supervisors can then review/approve messages in bulk or individually, reject any or all items or escalate one or more up the review chain for further review. Supervisors may also delegate e-mails in their queue to other reviewers Review criteria, processes and roles are highly configurable.

AXS-One Supervision makes the response to regulatory audits easy by providing comprehensive, real-time reporting on the review process from overall messages received, reviewed and escalated to statistics on reviewer performance.

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