Question

A financial services firm must comply with SEC 17a-4 requirements that mandate certain trade communications be retained in an immutable, non-rewriteable, non-erasable state for seven years, after which they must be permanently disposed of with a documented approval process. The compliance team needs a solution in Microsoft Purview that enforces immutable retention, prevents early deletion even by administrators, and requires reviewer sign-off before records are purged. Which design best meets these requirements?

Accepted Answer

Use Purview retention labels configured as records with Preservation Lock enabled, a seven-year retention period, and disposition review to require reviewer approval before permanent deletion

Answer

Apply a Purview retention policy scoped to Exchange with a seven-year retention period and automatic deletion, relying on the tenant admin to approve disposals manually

Answer

Configure a Purview DLP policy that blocks deletion of trade communications and generates an alert when users attempt to remove them within seven years

Answer

Enable Purview eDiscovery legal holds on all mailboxes indefinitely and manually export and delete communications after seven years