Financial

Financial services clients rely on their providers to ensure that their confidential, personal financial information has no chance of becoming public knowledge. Securities firms have earned this trust over the years by using government mail for communications.

As email and the web overtake paper and document delivery services as the preferred communications channel, this trust must now be safeguarded in new ways.

See how easy it is to deliver confidential financial documents securely using CertifiedMail:

1. If necessary, convert financial documents into electronic format. These include monthly account statements, stock trade confirmations and prospectuses. Popular delivery formats include HTML and Adobe Acrobat.
2. Obtain customer email addresses. This can be accomplished through your website (using Secure Web Forms), telemarketing and new account enrollment.
3. Obtain electronic consent. The SEC requires that you have on file written consent from each customer receiving documents electronically.
4. Create a pilot program. Sign up a small group of customers for a trial of the electronic delivery program. Once you are comfortable with the system, do a general rollout and market the program to your entire customer base.
5. Stop mailing paper. Once the general rollout is in place, you can stop mailing paper documents to customers who have signed up for electronic delivery.

CertifiedMail's Secure Email System and Secure Web Forms solutions provide clients and providers with the security they need to confidently exchange personal financial information over the Internet in areas such as:

Mortgage and loan applications - On-line trade confirmation notices - Account statements - Payment notices - Shareholder communications - Proxies - Earnings reports - Client and employee communications - Reorder checks - Transfer funds

Additionally, CertifiedMail solutions ensure that personal, private information is protected to the level required by government and SEC privacy legislation.

See also:

• SEC statement on the use of email for financial information delivery purposes
• SEC statement on the use of email by brokers and investors
• Selected Industry Customers