International Best Practices
Compliance of Data and Records Management according to International Best Practices in relation to:
- Basel II (Capital Assessment and Reporting Standards for Global Banking)
- SEC 17-3 and 4 (All records related to securities transactions to be maintained for 3 years)
- Solvency II, EU directives and Data Protection Act
- HIPAA/ Right to carry insurance between job; Privacy of Patient Information)
- CFR 21 part 11 FDA, Sarbanes-Oxley, PIPEDA (Canada), J-SOX, ASX 10, OMB-123A
- US Patriot Act (Customer Documentation Requirements in order to "know your customer")
- DoD 5015.2 and UK PRO (Federal Standards of Records Management)
- NASD 3110 (written policies and procedures for review of correspondence with the public), Graham Leach Bliley Act (Privacy of Financial Information)
Compliance of Data and Records Management according to local retention rules and regulations in relation to:
- Audit trails that combine digital time stamped records (e.g. FDA requirement)
- Authentication and integrity of files
- Durable deletion/disposition of data at the end of a retention period.
- Document Controller's individual file-watch program.
- EU directives and Local fiscal requirements depending on the country of residence
- Management of archived e-mail and other electronic transmissions (FRCP requirement)
- Metadata is verified to ensure that files are not tampered or corrupted.
- Serialization (SEC requirement)
- User access trail (HIPAA requirement).
- Unalterable (audit trail of change or erase until the end of the retention period) files and objects placed under Document Controller file management system.
Document Controller with SHAREPOINT 2007 technology creates a unique approach to ensure file integrity and avoid data collisions.
- Documentation of audit trail through tamper-proof time stamping.
- Encryption can be placed on all or selected for security and data protection assets.
- Support for remote replication and protection.
- Unique data recovery in case of unit failure.
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