Financial services
Compliant Email Management for Financial Services Teams
Capture, classify, and manage email communications—and the documents that come with them—in Microsoft 365 while meeting SEC, FINRA, and internal compliance requirements.
Common Email Compliance Challenges in Financial Services
Financial services organizations operate under strict regulatory oversight—but managing email and related documents across Microsoft 365 often falls short of compliance requirements.
Common challenges include:
- Email records aren’t consistently captured
Important communications remain in personal inboxes or are stored inconsistently. - Attachments and documents are disconnected from emails
Critical files received via email are saved separately—or not at all—making records incomplete. - Audit and eDiscovery requests are time-consuming
Teams must manually search across mailboxes and systems to locate relevant communications and supporting documents. - Classification and retention rely on user behavior
Policies exist, but enforcement is inconsistent and difficult to scale. - Users bypass compliance processes
If capturing and filing emails slows them down, they find workarounds.
Bring Structure and Control to Email in Microsoft 365
Colligo helps financial services firms bring structure and control to email management in Microsoft 365—ensuring both communications and their attachments are properly captured and managed.
- Capture and manage email directly from Outlook
Ensure important communications are stored in the right place at the right time. - Preserve attachments as part of the record
Keep emails and their associated documents together for complete, defensible records. - Apply consistent classification and retention
Support compliance with SEC, FINRA, and internal policies. - Store emails alongside related documents in SharePoint
Maintain a single, connected system of record. - Support audit and eDiscovery readiness
Quickly locate and produce complete communication records. - Improve user adoption with seamless workflows
Work within familiar tools instead of adding new systems.
How Financial Services Teams Use Colligo in Practice
Financial services teams use Colligo to support critical compliance and operational workflows:
- Regulatory recordkeeping
Capture and classify email communications and attachments in line with SEC and FINRA requirements. - Audit and investigation readiness
Retrieve complete records—including emails and supporting documents—quickly. - Client communication management
Ensure consistent handling and storage of client-related emails and attachments. - Policy enforcement in Microsoft 365
Apply governance without relying on manual processes. - Knowledge continuity
Preserve important communications and documents beyond individual inboxes.
Trusted by Financial Services Organizations
“Colligo was able to institutionalize our research process, leveraging our existing Microsoft 365-based workflow, and help our firm effectively create a full records management system.”
Leading Canadian Asset Manager
“The application has saved us time in combination with SharePoint…”
Wayne Asker
IT Director, Dashwood Brewer & Phipps, Insurance Brokerage
“Their applications required minimal change to our existing workflow and extended the value of the Microsoft 365 suite all while being much more cost effective versus vertical software alternatives.”
Leading Canadian Asset Manager
“Colligo has allowed us to improve team collaboration and increase individual team member accountability. We wish we found Colligo several years ago!”
Leading Canadian Asset Manager
“As Colligo Email Manager is a native Microsoft 365 application, it aligned very well with our goal of fully moving to and working within Microsoft 365.”
Wayne Asker
IT Director, Dashwood Brewer & Phipps, Insurance Brokerage
More Financial Services Resources
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Insurance Compliance Software for Email Governance
Explore how insurance compliance software helps insurers meet regulations, manage email records, simplify audits & reduce compliance risks.
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Insurance Broker Improves Compliance & Saves Time With Colligo Email Manager
Team members have fast way to compliantly file emails to SharePoint without leaving Outlook: Insurance Broker Case Study.
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Email Manager Fills Microsoft 365 Gap Allowing Accountancy to Modernize in Cloud
Team members have fast way to easily file emails to SharePoint without leaving Outlook: Accountancy Firm Case Study.
Why Financial Services Teams Choose Colligo
Colligo is purpose-built for organizations that need to balance compliance with usability.
- Designed for Microsoft 365
- Focused on regulated industries
- Proven approach to improving user adoption
- Supports defensible information governance
