The email compliance guide: Everything you need to know
28 January 2025
0 min read
Introduction
Email is one of the most important communication channels for businesses. However, staying compliant with email regulations is critical. With stricter laws around privacy, security, and data protection, email compliance is a top priority for companies of all sizes.
Failing to follow email compliance standards can result in serious consequences. These include legal fines, data breaches, and loss of customer trust. Even small oversights, such as improper email signature management, can create compliance risks.
This guide to email compliance covers everything you need to know. It includes the basics of email compliance and key regulations like GDPR and HIPAA. It also provides best practices for secure email communication and what solutions are available for keeping your business compliant.
What is email compliance?
Email compliance involves following laws, regulations, and industry standards for email communication, including marketing and general messages. It ensures emails are managed, stored, and sent securely, focusing on protecting sensitive data. It also emphasizes obtaining consent and maintaining transparency.
Non-compliance can lead to serious consequences. However, meeting these standards helps protect customer data, fulfill legal requirements, and build trust.
Understanding email compliance regulations
Several global and industry-specific regulations dictate how businesses should handle email communication to ensure privacy, security, and ethical practices. These regulations protect consumers from spam, data breaches, and misuse of personal information.
Here’s an overview of some of the most important ones and why they matter:
1. CAN-SPAM Act
The Controlling the Assault of Non-Solicited Pornography And Marketing Act, more commonly known as CAN-SPAM, is a U.S. law that sets rules for commercial email.
Businesses must get consent before sending marketing emails, clearly identify the sender, and include an option to unsubscribe.
2. General Data Protection Regulation (GDPR)
The General Data Protection Regulation (GDPR) is a data privacy law implemented in the EU in 2018. It protects EU citizens' personal data and requires organizations to collect, process, and store it responsibly.
Businesses emailing EU citizens must get clear consent and provide transparent privacy policies. They must also allow individuals to access, correct, or delete their data.
3. Health Insurance Portability and Accountability Act (HIPAA)
The Health Insurance Portability and Accountability Act (HIPAA) is a U.S. law that sets standards for protecting health information.
Organizations handling protected health information (PHI) must comply with HIPAA, including using secure email. Businesses must ensure the confidentiality, integrity, and availability of PHI in email communication.
4. Payment Card Industry Data Security Standard (PCI DSS)
The Payment Card Industry Data Security Standard (PCI DSS) is a set of rules for businesses handling credit card data.
Email is crucial for PCI compliance. However, credit card information should never be sent via email unless it is encrypted and secure.
5. California Consumer Privacy Act (CCPA)
The California legislature enacted the California Consumer Privacy Act (CCPA) in 2018, and it took effect in 2020. It gives California residents the right to know what personal data businesses collect. They can also request its deletion and opt out of its sale.
Businesses must also provide clear privacy policies and get consent before collecting or sharing personal data.
6. Canada’s Anti-Spam Legislation (CASL)
Canada’s Anti-Spam Legislation (CASL) regulates how businesses send commercial electronic messages. It applies to any organization emailing or communicating digitally with Canadian citizens, no matter where the business is.
CASL requires businesses to get recipient consent and clearly identify the sender in all communications.
7. The Privacy and Electronic Communications Regulations (PECR)
The Privacy and Electronic Communications Regulations (PECR) govern how UK businesses use electronic communications like email marketing.
PECR requires businesses to get consent before sending marketing emails and offer clear opt-out options. It also mandates proper management of personal data.
8. Gramm-Leach-Bliley Act (GLBA)
The Gramm-Leach-Bliley Act (GLBA) is a U.S. law requiring financial institutions protect customers’ personal financial information. This includes secure email and proper data handling.
Businesses must create security programs, provide privacy notices, and get consent before sharing data with third parties.
9. The Sarbanes-Oxley Act (SOX)
The Sarbanes-Oxley Act (SOX) is a U.S. law that sets standards for financial reporting and corporate governance. It aims to protect investors from fraudulent financial practices and ensure the accuracy of financial reporting.
Under SOX, businesses must maintain accurate records of email communication related to financial transactions.
10. Federal Rules of Civil Procedure (FRCP)
The Federal Rules of Civil Procedure (FRCP) is a set of guidelines for handling civil lawsuits in U.S. courts. These rules require businesses to preserve electronic communication, including emails, that may be relevant to ongoing or potential litigation.
Who’s responsible for email compliance?
Email compliance is a shared responsibility among various stakeholders within an organization. While the ultimate responsibility falls on the business, specific roles may have more direct involvement in compliance efforts.
IT teams handle important technical tasks like setting up clear email retention policies, managing robust email security features, and implementing reliable email filtering systems.
System administrators oversee email archiving solutions for secure email storage, easy retrieval, and efficient email management.
Compliance officers review and audit email activity, ensuring everything meets the required standards. When legal requests for email data come through, they handle them with precision and care.
Marketing teams should be aware of email compliance regulations so all email campaigns adhere to them. This includes obtaining consent, offering clear unsubscribe options, and managing opt-out requests.
Human resources teams play a crucial role in ensuring employee compliance training is conducted regularly. This training educates staff on best practices for handling sensitive information via email.
Employees must follow company email policies and stick to the right communication channels. They should also promptly report any suspicious activity that might pose a compliance risk.
What are the most common email compliance pitfalls?
Email compliance is a multifaceted effort that requires thorough attention to detail. Even minor mistakes can lead to significant compliance breaches. This is why businesses must be aware of the most common pitfalls and take proactive measures to avoid them.
Lack of employee training: Employees are often the weakest link when it comes to email compliance. Their accidental mishandling of sensitive data can lead to regulatory breaches or data disclosure issues.
Poor email retention policies: Businesses must have clear email retention policies in place. This keeps emails stored securely, making them readily available when needed for litigation or regulatory requests.
Insufficient security measures: Without adequate safeguards like encryption and anti-phishing solutions in place, emails are at risk of being intercepted. This can lead to compliance breaches and data loss.
Overlooking data loss prevention (DLP): Many organizations don’t use DLP tools. These monitor and restrict sensitive data leaving the network through email. This can lead to accidental or intentional data breaches.
Failure to obtain proper consent: Obtaining explicit consent from recipients is a key element of many email regulations. Businesses must have clear processes in place for obtaining and storing this consent.
Neglecting email authentication: Spoofing and phishing attacks not only jeopardize email security but can also result in compliance violations. Many companies fail to implement proper SPF, DKIM, and DMARC configurations, leaving their systems vulnerable.
Ignoring regulatory updates: Email compliance regulations change or evolve, and staying compliant requires continuous attention. Failure to adapt to new requirements can result in severe penalties.
Inaccurate or missing disclaimers: Email disclaimers play an important role in email compliance. They should be kept up-to-date and tailored to specific regulations and industry requirements.
The consequences of non-compliance
Not complying with email regulations can lead to significant consequences for businesses, including:
Loss of customer trust: Any compliance breach that exposes sensitive customer information can erode trust in your business. This can lead to missed opportunities and weakened customer loyalty.
Financial penalties: Violating email compliance regulations can result in significant fines. For example, under GDPR, businesses can be fined up to €20 million or 4% of global annual revenue, whichever is higher.
Legal action: Non-compliance with email regulations could result in legal action from affected individuals or regulatory bodies. This can lead to costly legal battles and damage to your business reputation.
8 best practices for email compliance
Compliance is an ongoing effort that requires a combination of proper policies, tools, and employee education. Here are some best practices to make sure your organization stays compliant with email regulations:
1. Develop clear policies
Start by creating clear email guidelines for employees to follow. These should outline:
Appropriate use: Define acceptable and unacceptable content, personal use, and use of company email resources.
Sensitive information: Explain how to handle confidential data, including encryption, password protection, and restrictions on forwarding to unauthorized recipients.
Retention periods: Specify how long emails are stored before archiving or deleting, following company policy or legal requirements.
Monitoring: Clarify the lawful reasons for email monitoring, how it works, and its importance for compliance, security, and productivity.
2. Implement robust data management practice
Data management is a critical aspect of email compliance. Ensure you have processes in place to securely store and retrieve emails when needed, including:
Email archiving: Implement an email archiving solution that automatically captures, indexes, and stores all incoming and outgoing emails. Ensure they are saved in a tamper-proof format. This allows for easy retrieval for legal or regulatory requests.
Secure deletion: Develop policies to determine how long to keep emails. Delete them permanently after that period to reduce privacy risks associated with unnecessary storage.
3. Collect and manage subscriber consent
Getting consent before adding someone to your email list is key to building trust and following privacy laws. Here’s how to do it right:
a. Ask for clear, active consent
Make sure people intentionally agree to hear from you. Use simple, well-worded signup forms that explain:
What kinds of emails they’ll receive
How often they’ll hear from you
b. Be upfront and transparent
Let subscribers know:
Why you’re sending them emails
What value they’ll get from signing up
Exactly what to expect and when
c. Give them control
Make it easy for subscribers to:
Unsubscribe anytime with a clear, visible link in every email
Honor opt our requests promptly
Adjust their preferences, like email frequency or topics, to suit their needs
4. Practice good marketing list hygiene
Regularly cleaning your email list is key to a winning email marketing strategy. Over time, your list can fill up with inactive subscribers, outdated addresses, or people who’ve lost interest. By removing these contacts, you’ll boost your open and click-through rates.
Why is this so important?
Better performance: A clean list improves email effectiveness so you're talking to engaged subscribers.
Stay compliant: Laws like CAN-SPAM and GDPR require you to email only those who’ve opted in.
Stronger sender reputation: Outdated emails and spam traps can drag down your deliverability. A fresh list keeps your emails landing in inboxes, not spam folders.
5. Monitor and audit emails regularly
Regular email reviews are a smart way to keep your company compliant and reduce risks. Consider the following:
Catch issues early: Spot problems like sensitive info leaks, inappropriate content, or potential data breaches before they escalate.
Ensure policy compliance: Make sure employees follow company rules and industry standards.
Identify training needs: Pinpoint areas where your team might need extra guidance.
Stay audit-ready: Properly archive communications to meet legal and regulatory requirements for audits, disputes, or record-keeping.
6. Implement secure email signatures and disclaimers
Implementing automated email signatures is essential for consistency, legal protection, and increasing your brand's professionalism. Here's why they're important:
Maintain professionalism: Signatures show that your emails are official company communications.
Legal protection: Email disclaimers can limit your liability in case of legal action. By including a disclaimer, you make it clear that your emails are private and confidential.
Branding and consistency: A standardized email signature with company logo and contact information helps build brand recognition.
7. Train employees on email compliance best practices
Educating employees on email best practices is key to keeping your organization secure and compliant. Here’s how to make it simple and engaging:
Spot suspicious emails: Teach employees how to identify phishing attempts, unusual links, and unexpected attachments. Watch for red flags like spelling or grammar mistakes, requests for sensitive information, or urgent messages pressuring quick responses
Handle sensitive data safely: Use encryption tools and password-protected files to share confidential information securely. Avoid sending sensitive data over unsecured networks or to unauthorized recipients.
Understand the risks: Explain the consequences of mishandling emails, including data breaches, legal penalties, and reputational damage
Make training hands-on: Run regular workshops and conduct mock phishing exercises to strengthen security awareness. Additionally, create clear and simple email policies to guide safe communication practices.
8. Keep informed with email regulations
Staying on top of email regulations is essential to keep your communication compliant. Here’s what you need to know:
Know the rules: Laws like GDPR and CAN-SPAM are updated often to protect privacy and consumer rights.
Review your policies: Regularly check your consent management, data storage, and opt-out processes. Make sure they meet the latest requirements.
Audit your system: Regular audits can help you spot any gaps or areas to improve.
Not sure about specific rules? Reach out to a legal expert or compliance specialist to avoid fines and protect your brand’s reputation.
The top solutions for simplifying email compliance
Effective email compliance management solutions are essential for meeting regulatory requirements, protecting data, and safeguarding communications. Here’s an overview of the main types of solutions commonly used by IT professionals along with some notable vendors in each category:
1. Email encryption
These products protect sensitive information by encrypting email content and attachments. This means only authorized recipients can access the information.
Vendors:
Proofpoint Encryption: Offers policy-driven encryption and secure delivery of sensitive messages.
Mimecast Secure Messaging: Provides user-friendly encryption for outbound emails with tracking capabilities.
Virtru: Enables end-to-end encryption that integrates seamlessly with Gmail and Outlook.
2. Email archiving
Archiving solutions automatically store emails in a secure, searchable repository. This is helpful for retaining business communications, legal discovery, and regulatory audits.
Vendors:
Barracuda Message Archiver: Offers cloud and on-premises solutions for secure email archiving with easy search functions.
Microsoft Purview (formerly Microsoft Compliance): Features scalable archiving with strong integration for Office 365 users.
Google Vault: A simple archiving option for Gmail users with tools for retention, eDiscovery, and more.
3. Email monitoring and policy management
Solutions in this category ensure email communications adhere to company policies and compliance regulations by monitoring or filtering messages. They help organizations reduce risks associated with improper communications.
Vendors:
Exclaimer: Allows centralized control over email signatures, ensuring consistent and compliant branding across all emails.
SPF/DKIM/DMARC Management Tools (e.g., Agari, DMARC Analyzer): These monitor and enforce email authentication protocols to prevent spoofing and phishing.
Tessian: Analyzes email behaviors to detect human errors and prevent data breaches.
4. Email data loss prevention (DLP)
DLP solutions prevent sensitive information from leaving the organization. They do this by scanning outbound email contents for compliance violations or unauthorized sharing.
Vendors:
Symantec Email Security (Broadcom): Includes strong DLP features for email with advanced scanning capabilities.
Forcepoint Email Security: Monitors emails for regulatory-sensitive information, offering automated remediation options.
Microsoft Defender for Office 365: Offers customizable DLP policies and sensitivity labels to meet compliance needs.
5. Anti-spam and compliance gateways
These solutions block unwanted emails to ensure adherence to anti-spam laws. They also provide security and compliance features.
Vendors:
SpamTitan (TitanHQ): Combines anti-spam, email filtering, and compliance features.
Cisco Secure Email (formerly IronPort): Provides robust filtering alongside encryption and archiving options.
SonicWall Email Security: A solution for preventing spam, phishing, and regulatory violations.
6. Email threat intelligence
Solutions in this category help secure email and support compliance. They detect malicious or fraudulent activity that could lead to regulatory breaches.
Vendors:
Proofpoint Essentials: Offers advanced threat protection for smaller organizations while ensuring compliance.
Egress Defend: Combines threat detection with tools for protecting sensitive data and maintaining compliance.
Trend Micro Email Security: Integrates AI-driven threat analysis with compliance-specific capabilities.
Take the proactive approach to email compliance
Email compliance shouldn’t just be viewed as a checkbox exercise to avoid penalties or legal troubles. Instead, see it as an important business strategy for protecting your customers and enhancing their experience. This approach also helps build trust in your brand. When your organization prioritizes compliance, it will lead to long-term business success.
By thoroughly understanding key regulations, adopting best practices, and using advanced email compliance solutions, your organization can confidently manage its email communications. This approach also helps foster a positive reputation.