Email Compliance Requirements for Archiving

Fiona Mulvaney – Waterford Technologies

Does Your Company adhere to Email Compliance Regulations

Not as straightforward as you might think!

When it comes to archiving emails, there is no universal law, there are however a number of different regulations that should be taken into consideration. These regulations are related to industry sector and geography.

Regularly people ask us for our advice about what are the email compliance rules for their sector & as we know the rules are different depending on sector e.g. government sector, private company, healthcare, financial, legal or pharmaceutical.

Sometimes there are internal organisational policies and procedures about data and management of emails, so again these are specific to each organisation.

Some of the common regulations for organizations include FDA 21 CFR Part 11, The Freedom of Information Act, HIPAA, IDA 29.7 (Canada), Investment Advisors Act,, PIPEDA (Canada),FRCP, Gramm-Leach-Bliley, NASD Rule 3110 & NYSE Rule 440, Sarbanes-Oxley (SOX) etc. Other regulations include FOI, GLBA, Basel II and the Data Protection Act.

 email compliance

So what do I need to do to comply?

Complying to these email compliance regulations is critical ,it’s not an option to ignore these legal requirements, as the consequences would be detrimental in terms of bad PR, impact on company brand, huge penalties or fines etc. The law cannot be ignored.


Below are some of the fundamental processes which need to be in place;

  • Have an understanding the compliance requirements specific to your industry,
  • Have a clear company policy which is reviewed by your Legal Department,
  • Have a technology solution in place to manage the enforcement of your company email & email retention policies
  • Ongoing training & training of new employees regarding company policies

These are all necessary to manage an organisation efficiently and successfully and ensuring you are meeting your email compliance archiving requirements.

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