Piler Enterprise for Financial Services
Email Archiving for SEC/FINRA Compliance
The Challenge
Financial services firms face stringent email retention requirements:
SEC Rule 17a-4
6-year retention, 2 years immediately accessible
FINRA Rules 3110/4511
Supervision and retention requirements
Immutability
Records must be non-rewriteable, non-erasable (WORM)
Rapid Production
Regulators expect quick responses to requests
Non-compliance penalties can reach millions of dollars plus reputational damage.
How Piler Helps
| Requirement | Piler Capability |
|---|---|
| 6-7 Year Retention | Configurable retention policies with legal hold |
| Immutable Storage | Write-once archive, cryptographic integrity |
| Rapid Search | Sub-200ms search (typical), instant regulatory response |
| Audit Trails | Complete logging of all access and exports |
| Supervision | Search and review capabilities for compliance |
| Data Sovereignty | Self-hosted - no third-party cloud exposure |
SEC Rule 17a-4 Requirements
| Requirement | Piler Implementation |
|---|---|
| Preserve records for 6 years | Configurable retention policies |
| First 2 years immediately accessible | All records searchable in < 200ms (typical) |
| Non-rewriteable, non-erasable | Immutable storage, integrity verification |
| Separate copies | Built-in backup/replication support |
| Index and retrieve by date | Full date-range search capabilities |
Smart Insights: Automated Risk Detection
Piler's scanner automatically flags emails containing:
PCI-DSS relevant
Identity theft risk
Financial data exposure
Configure for your risk indicators
Compliance teams receive prioritized alerts for review.
Why Self-Hosted for Financial Services?
| Concern | Cloud Archiving | Piler Enterprise |
|---|---|---|
| Regulatory Control | Vendor dependency | Direct control |
| Exam Readiness | Request from vendor | Instant access |
| Data Location | Vendor's infrastructure | Your data center |
| Vendor Risk | Third-party exposure | Eliminated |
| Exit Strategy | Vendor lock-in | Full data ownership |
Examiners prefer organizations that control their own compliance data.
Exam Readiness Checklist
- ✓All email automatically archived (journal/BCC)
- ✓Retention policies configured per regulation
- ✓Legal holds available for investigations
- ✓Search any date range in under 2 minutes
- ✓Export capability for production
- ✓Audit logs for access documentation
- ✓Backup/DR plan documented
Piler addresses all checklist items.
Ready to support your SEC/FINRA compliance?
Start with a 30-day free trial or schedule a personalized demo
Piler Enterprise is designed to help financial services firms meet email retention requirements. Consult your compliance officer and legal counsel for firm-specific regulatory guidance.