Email archiving for investment advisers
Every business email kept as it arrived, and read before an examiner reads it.
Your mail server sends Luna a copy of every message your people send and receive. Luna keeps the original under lock for your retention period, checks it against your rules, has AI review it with the evidence quoted, and puts what needs a look in front of a person.
Included in Firm Plus. Email only: Luna does not capture text messages, messaging apps, Teams, Slack or social media. On Google Workspace, blind copy recipients are not visible.
A screenshot of the product, with a demonstration firm’s data.
An adviser must keep written communications about its advice, recommendations, orders and fees, and keep them for five years from the end of the fiscal year in which they were made. Email is where most of those communications are.
What it does
Captured at the mail server
A journal rule in Google Workspace or Microsoft 365 sends Luna a copy of every message: sent, received and internal, including mail someone later deletes. Your email admin sets it up once. Older mail can be imported from .eml, .mbox or .zip files, and is labelled as uploaded.
Kept as it arrived
Each original is stored in immutable storage using S3 Object Lock and its hash is checked on arrival. The archive records are append-only. Retention runs at least five years from the end of your fiscal year, longer if you set it, and a legal hold keeps anything past its date.
Your rules first
Every message is checked against a lexicon you can edit, for account and Social Security numbers in plain text, for firm mail sent to personal addresses, and against your restricted list and the code names in your MNPI register. Those checks always run.
AI that has to quote
AI reviews each message for guarantee language, steering to text or messaging apps, complaints, gifts, outside activity, personal trading cues and more. Every flag must quote the message, and Luna checks the quote is there. The AI can raise a flag, never lower one your rules set.
What the AI never sees
Account and Social Security numbers are removed before a message is sent for review, attachments are not sent, and mail to or from the domains you name as counsel is kept from the AI and routed to a person.
A person decides
Flagged messages and a reproducible sample of the rest land in a review queue. Close with or without an issue, escalate to the CCO, ask the employee a question in Luna, or mark a flag not a concern with a reason. No one can close the review of a message they sent or received.
Proof capture is working
Capture health shows when mail last arrived, warns when it goes quiet, shows anyone with no captured mail, and sets a monthly capture test that proves a message gets through end to end.
Search, export and report
Search subjects, bodies and the text of PDF, Word and text attachments. Export originals with an index and a manifest of SHA-256 hashes, print any message as a PDF with its findings and review trail, and produce a monthly report. Every search, view and export is logged.
Notice to employees
Luna sends your people a monitoring notice to acknowledge and assigns it to new hires automatically. Employees have no access to the archive or to who is under review.