Case Study: Country Club Financial Services, Inc. achieves efficient, auditable email and social media compliance with Global Relay Archive

Country Club Financial Relies on Global Relay for Email & Social Media Compliance Archiving

Country Club Financial Services, Inc., a Kansas City–based broker‑dealer, registered investment adviser and FINRA/SEC‑regulated firm, faced a labor‑intensive email review process, limited search/export capabilities, no social media archiving, and an inability to document proof‑of‑review during audits. To address these compliance and supervisory gaps, Country Club Financial Services, Inc. selected Global Relay’s Archive solution for email and LinkedIn.

Global Relay implemented Global Relay Archive for Email and LinkedIn, delivering one‑click review workflows, searches that return results in seconds, unalterable audit trails and detailed supervisory reports, plus 24x7 access to its Audit & eDiscovery team. As a result, Country Club Financial Services, Inc. has a faster, less time‑consuming review process, verifiable proof‑of‑review for FINRA exams and greater confidence and responsiveness during regulatory audits.

Country Club Financial Services, Inc.

Sandy Dershem-Vega

Chief Compliance Officer