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Part of complying with FINRA regulations is the ability survey internal communications (eg. email) and look for fraudulent behavior.  NetGovern Search provides multiple case types, from eDiscovery to auditing purposes, which can you assist in this goal.  This article will describe how to leverage that functionality in the interest of achieving compliance within your organization.

Solution

A common method used to meet the supervisory requirements imposed by FINRA is to perform a random sample of the email to/from investment agents.

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