A question around the (specifically, trading and energy companies)
formula used to balance compliance vs. ease and effectiveness of Email. 

Specifically, how are most companies capturing email so that it also
meets some sort of compliance or regulatory model. 

E.g. "Worker A" sends out Email confirming that changes have been made
to "Investor B's" account. Now, regulatory rules are in place to capture
that Email and retain it and I am sure that in most instances there is a
disinterested 3rd party compliance officer that reviews it (I hope there
is...)  but what are you doing to ensure that the following has been
accomplished:

1. That the account has indeed been changed.
2. That Worker A is authorized to change the account.
3. That Manager A of Worker A has been informed that the account has
been changed
4. That Legal, IT, etc.. Have reviewed or signed off on this request.

This may be more of a compliance issue but I am curious how you are
balancing the ease and effectiveness of Email with making sure that
those that need to know because they are responsible for your business.
I.e. The Big Boss 

I guess the real world example is how are you making email available to
the Kenneth Lays of the world to avoid him not knowing that Enron is
burning? 

Forgive the rambling. I blame the cough syrup and mocha. 
 
You can respond to me off list... 


Stephen Shalagan
Records Manager, HPOPS

ph.  (713) 869-8734
fax. (713) 869-7657 

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