Email compliance is the practice of ensuring that all email communication within an organization aligns with applicable legal, regulatory, and corporate standards. This includes safeguarding sensitive data, enforcing message retention policies, applying access controls, and maintaining audit trails. Industries such as finance, healthcare, and legal are especially impacted by regulations like GDPR, HIPAA, and SOX, which require organizations to secure email communications and prove accountability.
Compliance involves more than just secure email transmission—it requires systematic monitoring, encryption, content control, and the ability to automate and enforce policy-based actions across all email workflows. An effective strategy combines people, policies, and technology to reduce risk and ensure that sensitive communications are properly handled and recorded.
However, failure to comply can result in serious consequences. Organizations risk substantial regulatory fines, legal action, reputational damage, and even operational disruption. Data breaches, unauthorized access, or improper handling of personal information can lead to loss of customer trust and business opportunities. In an era of increasing regulatory scrutiny and rising cyber threats, robust email compliance isn't just a best practice—it’s a business necessity.
Security & Compliance
Secure Email Solutions
Defense from man-in-the-middle attacks
Control intentional & unintentional information leakage
What is TSECM? Why is TSECM
Corporate Finance Adviser Code of Conduct
Corporate Finance Adviser Code of Conduct ("CFA Code") Paragraph 4.3 - Chinese Walls
The Corporate Finance Division prepares this FAQ and aims to clarify the meaning of paragraph 4.3 of the CFA Code.
Chinese Wall
Where a Corporate Finance Adviser is part of a professional firm or group of companies undertaking other activities, e.g. auditing, banking, research, stock broking, and fund management, the Corporate Finance Adviser should ensure that there is an effective system of functional barriers (Chinese Walls) to prevent the flow of information that may be confidential or price sensitive between the corporate finance activities and the other business activities. This system should include a physical separation between different staff employed for the various business activities.
Business Email Compromise
66%
Business Email Compromise accounts for 66% of data breaches in 2024
51 Billion
FBI Data identifies
$51 billion in exposed losses due to business email compromise
Data breach incidents involving
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Hacking
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Credential theft techniques and fake billing documents
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System misconfiguration
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The loss of documents on personal devices
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Inadvertent disclosure of personal data by email, fax or post.
Information Barrier Compliance
Prevent the flow of information that may be confidential or price sensitive between
the corporate finance activities and the other business activities.
Price sensitive
Advises on corp. finance or mergers & acquisitions
Inside information Insider dealing prohibitions
01
Protect against the misuse of and wrongful disclosure of sensitive information
02
Avoid Conflict of interest
03
Law duty of confidentiality to the client
04
Act fairly and in the best interests of their clients
05
Corporate finance information should generally be restricted to those people who "need to know
Key Components of an Effective Email Compliance Program
A robust email compliance program combines policy, people, and technology to ensure secure and accountable communication across the organization.
Below are the essential components:
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Policy Development
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Establishing clear, comprehensive email policies is the foundation of compliance. These policies should define acceptable use, outline data handling rules, and specify retention periods in accordance with both industry regulations and internal governance standards. They must also cover procedures for handling confidential information, email classification, external communication protocols, and escalation paths for reporting incidents.
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Technology Solutions
A. Monitoring and Automation
Implement automated systems that monitor email flow in real-time, flag policy violations, and enforce actions like rerouting, blocking, or archiving. Automation reduces manual errors and ensures consistent policy application across the board.
B. Secure Email Infrastructure
Deploy secure email gateways that offer advanced threat protection, content filtering, and encryption to prevent data leakage and ensure message confidentiality. Use Data Loss Prevention (DLP) tools to detect and block unauthorized sharing of sensitive data.
C. Archiving and Retention
Implement compliant email archiving solutions that store communications in a tamper-proof manner for legally mandated periods. These tools ensure emails are easily retrievable for audits, legal holds, or internal investigations, preserving data integrity and transparency.
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Training and Awareness
Establishing clear, comprehensive email policies is the foundation of compliance. These policies should define acceptable use, outline data handling rules, and specify retention periods in accordance with both industry regulations and internal governance standards. They must also cover procedures for handling confidential information, email classification, external communication protocols, and escalation paths for reporting incidents.
Together, these components help organizations mitigate risk, improve accountability, and maintain trust—both internally and with external stakeholders.
An effective email compliance program isn’t just a checkbox—it’s a proactive defense against legal, financial, and reputational harm.