Resources: Case Study

Crews and Associates

Investment banking firms face some of the toughest regulations ranging, so one investment banking firm wanted a compliance solution powerful enough that even regulators would trust it. ZL UA rose to their challenge, and now they say, “similar to the old saying that an apple a day keeps the doctor away, for us ZL Technologies keeps the regulators away.”

    Regulations like FINRA and SEC 17a-4 require organizations to ensure that:
  • All messages are stored in their original form and are tamper proof
  • Archived messages are indexed and searchable
  • Procedures and policies are in place to supervise, review, and sample employees’ electronic communication for compliance violations
  • Supervisory procedures and documented records could be demonstrated in audit reviews

This investment banking firm believes ZL has the most knowledgeable, responsible product support team around, thanks in large part to the face that ZL built the entire ZL UA solution with 100% code control, incorporating the unified concept from the very start.