Random sampling of the data in your organization is a FINRA requirement. The compliance officer must send, on a daily basis, a percentage of sample data for compliance verification. This same process may repeat on a monthly basis to include all the data from the previous month.
If NetGovern Search is set to preview items in the side pane, clicking an item will indicate it as reviewed. It will then be removed from the Results tab.
- Create a new case and select the Random Sampling option.
- In the New Case dialog box, set parameters for the case—see Case Info Tab.
- In the Locations & Users tab, select the locations for the case, and click Create—see Locations & Users Tab.
- Right-click on the Configuration tab and select Random Sampling.
- The Random Sampling Settings dialog box displays.
- Set parameters for random sampling—see Random Sampling Settings.
Instead of waiting until the allotted time to see random sampling results, click Generate New Sample Now. Results are displayed in the Results tab.
When a random sample is run, it may take a few minutes before it is fully committed in the index. You should wait till this is completed before deleting or searching these documents.
- For review, you can sort items by date, name, author, or size, and location (message, attachment, WFS, Box, ShareFile, SharePoint, or OneDrive).
- When you change the parameters for random sampling, you must save the case. Click Save Case.
- Export the results for compliance—see Exporting Documents.