Enterprise Archive Solution

EAS Supervisor

Monitor employee activity to identify and prevent instances of misconduct and promote a healthy business culture.

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EAS Supervisor

Case Studies

EAS Supervisor has helped many institutions comply with various country-specific financial regulations. Contact us for EAS Supervisor case studies from some of our enterprise clients.

EAS Supervisor

With its one-of-a-kind post-archival management, EAS Supervisor provides ongoing value to supervise your ever-growing data, adhere to data compliance regulations, and manage your legal and risk matters with confidence.

Integrated Archive Supervision

For many years, financial services regulators have required enterprises to implement and monitor employee activity to proactively identify potential wrongdoing. Depending on the regions in which you operate, you will need to comply with one [or many] of the following regulators: the SEC, FINRA, IIROC, or MiFID II. Performing supervision has become increasingly difficult and complex due to the explosion of data. Since the dawn of the Information Age, enterprises have adopted a number of new communication platforms to improve collaboration. While these platforms are aimed at improving business productivity, IT and compliance teams must archive and supervise all of this communication data in accordance with the aforementioned regulatory bodies.

FINRA October 2019 Report

In October 2019, FINRA released its “2019 Report on Examination Findings and Observations.” The report is intended to provide broker-dealers with key findings and observations identified in FINRA’s recent examinations. While the primary purpose of the report is to describe best practices that FINRA deemed to be effective to help firms improve their compliance and risk management programs, the report also highlights areas where they feel there is an area for improvement. Supervision was highlighted, see the excerpt below from the report [the full report can be found here: https://www.finra.org/rules-guidance/guidance/reports/2019-report-exam-findings-and observations/supervision].

“Insufficient Supervision for Specific Types of Accounts – FINRA noted the following supervisory issues.

  • Restricted and Insider Accounts – Some firms failed to update timely their watch and restricted lists, or reasonably identify and restrict account activity susceptible to insider trading. Other firms did not have surveillance systems or procedures to review and approve restricted trading because they relied on clearing firms to conduct the review. Both introducing and correspondent firms are required to have supervisory systems reasonably designed to detect and prevent insider trading.”

EAS delivers a unified archive platform to provide a single source of truth for compliance teams to demonstrate they are meeting the books and records requirements for long term archival as well as the ongoing supervision requirements. This, of course, is driven by our core principle, a centralized platform for enterprise data archival. In the absence of a centralized archive repository, performing supervision is extremely difficult. EAS makes supervising corporate data easy, delivering compliance teams automated record keeping and supervision policy enforcement. This, in turn, enables compliance teams to spend their time investigating and remediating potential violations before they make front-page news.

Empower Your Compliance Officers

Consistent with EAS archive policies, EAS Supervisor delivers a powerful policy engine driven by lexicons to your compliance team. Depending on your use case, supervision may not be required for all employees within your enterprise, therefore EAS Supervisor provides a simple mechanism for compliance teams to group employees into risk-defined groups from Active Directory. Policies can be further configured to address the amount and type of sampling to be performed, custom workflows for escalation procedures, as well as alerts. Once messages are added to a reviewer’s queue, they can begin an investigation on flagged content. EAS Supervisor provides a rich yet simple case management workflow to containerize the review process and enable compliance teams to collaborate on investigations. Furthermore, a powerful search component enables compliance team members to further investigate a custodian’s mailbox for content on a specific matter.

Risk Management and HR

While financial services firms have been mandated to perform supervision, it can benefit companies within any vertical in proactive risk management and corporate policy adherence. Implementing a supervisory program can help your teams identify potential legal matters proactively. Furthermore, although enterprises make their best efforts, from time to time bad actors will violate acceptable use and other corporate standards and ethics. This could be the sharing of trade secrets or a MeToo infraction. EAS Supervisor provides your risk management and HR teams with the means to stop this behavior before its too late.

EAS Supervisor

EAS Supervisor is an essential application for financial institutions that are mandated to supervise employee communications for compliance.

Not only does EAS Supervisor provide a means of proactively monitoring electronic communications to discourage instances of undesired behavior, but it also gives Human Resources departments a tool to promote a positive work environment for everyone.

Maxwell Tyler
Senior Account Manager, UGA
+44 7.825.808.421

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What Our Clients Say

Customer service and responsiveness among the sales and engineering team is amazing. Some of the best I've ever encountered in 15 years of working in legal technology.

Associate Director, Risk ManagementLegal

EAS has been a great tool for us. And it addresses the most important aspect... security. I would recommend EAS to a prospective customer because of the ease of use and the security.

IT ManagerConstruction

Implementation is easy. UGA was able to provide a solution within our budget. The evaluation and contract negotiation was great. We just finished our implementation and training.

Senior EngineerGovernment

UGA has been very responsive to issues, and has provided great customer service. We purchased EAS as a managed service, and they regularly access the system to ensure it is operating correctly.

Systems ArchitectHealthcare

We work very well together, requirements from UGA are detailed and to the point. To date we have had no issues or problems from UGA. And we fully believe that all key milestones and target will be met.

Senior Project ManagerTransportation

Excellent archiving solution. Works great, decreases the need for file maintenance and makes work more flexible, customer service is also very good.

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