Case Study: Morgan Keegan achieves regulatory compliance and improved mail performance with ZL Technologies

Brokerage firm achieves regulatory compliance and enhances mail server performance

Morgan Keegan, a full-service brokerage firm and financial services company, needed a better way to meet strict SEC 17a-4 and NASD 3010 compliance requirements while handling growing email volumes and multiple data sources. Its legacy archival and compliance systems were inflexible, difficult to customize, and caused stability and mail-flow issues. Morgan Keegan turned to ZL Technologies, using Unified Compliance Manager, Unified Discovery Manager, and Unified Storage Optimization.

ZL Technologies implemented a scalable, flexible compliance archiving solution that supported pre-review at the gateway, unified search across Microsoft Exchange, Lotus Notes, instant messaging, and Bloomberg data, and migrated legacy archives without moving data off-premises. The result was improved mail server performance, full search and indexing for all email, and compliance with SEC/NASD regulations. The system was also intuitive enough to train 150 compliance reviewers in about one hour.

Morgan Keegan

Parker Mabry

Senior Vice President of IT