Case Study: APAC Financial Services Firm achieves enterprise-grade compliance in four months with Veritas Technologies

How a small APAC firm achieved enterprise-grade compliance in just four months

A small Asia‑Pacific investment firm faced a deal‑breaking problem when a U.S. multinational agreed to acquire it: the boutique firm had no archiving or surveillance of employee communications across multiple standard and custom messaging channels (including trading platforms) and a tiny IT team, yet had to meet SEC/FINRA and the acquirer’s global privacy and retention policies on a compressed timeline to close the acquisition.

Veritas Professional Services implemented Enterprise Vault with Discovery Accelerator, Merge1 connectors (including three custom connectors), InfoScale high‑availability, and NetBackup replication, bringing a unified surveillance, archiving, eDiscovery, and DR solution into production by the deadline. The system now samples and flags risky communications, routes alerts to reviewers, preserves messages for investigations, and runs without adding staff—allowing the acquisition to proceed.