Chinese Walls Compliance 

 Organizations commonly rely on email to send even sensitive and confidential information. Yet email as a major business tool is highly vulnerable to scamming, spam, exploitations & data loss. It is essential for todays businesses to implement email authentication & compliance solutions to secure, control & prevent emails from being stolen, miscued & falling into wrong hands.

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What is Chinese Wall

  • A Chinese wall is an information barrier that is set up within a company to prevent conflict of interest.

  • Organization have used Chinese wall policies to self-regulate business dealings by ensuring ethical boundaries between departments

  • It is an ethical concept that is typically implemented with a series of compliance controls.

  • Chinese walls are a legal requirement that are monitored by regulatory agencies in some industries.

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  • These barriers serve as an overture to silo business activities that are either legally or ethically questionable. You can found in investment banks, retail banks and law firms.

Case Study

An International Finance Company

Avoid Conflict of Interest

Background:


Investment bank & securities firms are required to guarantee insider information and confirm the improper trading doesn't occur.

Challenge:

  • To deploy Chinese walls to separate email exchanges between teams of conflicts of interest, like research department and brokerage division.

 

  • To prevent leakage of corporation's internal information .


Solution:

  • Using Trustsafe Email Compliance Manager checked non-compliant email flows automatically. Emails from external parties or contains suspicious contents would be auto- forwarded to management for monitoring

  • All emails from research department were blindly copied to management.

  • Corporation could control email flows among parties of conflicts of interest, for example investor relations and account manager. Setting of email flows was centrally managed without alerting individual users. The systems automatically blocked illegitimate emails and would hold the emails up for corresponding managers to review and handle.

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Prevent the flow of information that may be confidential or price sensitive between the corporate finance activities and the other business activities

  • Protect against the misuse of and wrongful disclosure of sensitive information

  • Law duty of confidentiality to the client

  • Avoid Conflict of interest

  • Act fairly and in the best interests of their clients

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