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News < Back Sarbanes Oxley : Technology : Internal Controls Maintain Compliance Objectives
“Orchestria has enabled the supervision of electronic communication to be much more effective for Raymond James branch managers, while dramatically decreasing the time required to perform their supervisory responsibilities,” said Kip Carevic, Raymond James’ Chief Compliance Officer. “Specifically, the intelligent filtering and rapid query features permit the firm’s supervisory principals to benefit from targeted reviews by reducing false positive alerts and increasing overall efficiency, added Carevic. “Orchestria Intelligent Compliance delivers accurate results with a workflow that is specifically tailored for our needs, allowing us to actively support a culture of compliance and information protection while letting our associates focus on serving their clients.” Raymond James has implemented Orchestria Intelligent Compliance for several thousand users in its branch locations across the country. In addition, Raymond James is taking proactive steps to ensure compliance and prevent data loss with the selection of the Orchestria Data Loss Prevention (DLP) solution. This technology will ensure that the company continues to be compliant with the wide variety of privacy regulations and information security best practices that protect employee, customer, and firm data. Built on the Orchestria Intelligent Control Layer platform, both solutions leverage Orchestria’s integrated approach to ensure compliance and prevent data loss across all points of electronic communication risk within an enterprise, including Web, e-mail, and file activity. “Raymond James is taking a leadership position in addressing regulatory compliance while also improving business processes and simplifying the lives of its financial advisors,” said Bo Manning, Orchestria president and CEO. “Orchestria’s extensive experience in electronic control enables us to provide the best compliance and data loss prevention software solutions available.” Orchestria is the global leader in Electronic Control software that substantially mitigates the risk from the explosion of uncontrolled electronic actions such as message, Web and file activity. The company’s Intelligent Control Layer provides the key underlying capability to effectively automate four converging and ultimately overlapping corporate functions, including Data Loss Prevention, Intelligent Compliance, Legal Hold, and Records and Information Management. Orchestria’s technology ensures that employees who intend to do damage are stopped, while empowering employees who inadvertently breach policy to correct their actions before they do harm. Deployed across more than 250 companies in 33 countries worldwide, Orchestria intelligently analyses and actively controls more than 80 million electronic actions every day. The company has 40 patents granted or pending in the field of Electronic Control. For more information, visit www.orchestria.com. Raymond James Financial (NYSE-RJF) is a Florida-based diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies. Its three principal wholly owned broker/dealers, Raymond James & Associates, Raymond James Financial Services and Raymond James Ltd., have more than 4,750 financial advisors serving 1.6 million accounts in 2,200 locations throughout the United States, Canada and overseas. In addition, total client assets are approximately $215 billion, of which approximately $37.3 billion are managed by the firm’s asset management subsidiaries. 
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