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ECS 3.6.2 Data Access Guide

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Compliance

Describes ECS features that support government and industry standards for the storage of electronic records.

ECS meets the storage requirements of the following standards, as certified by Cohasset Associates Inc:

  • Securities and Exchange Commission (SEC) in regulation 17 C.F.R. § 240.17a-4(f)
  • Commodity Futures Trading Commission (CFTC) in regulation 17 C.F.R. § 1.31(b)-(c)

Compliance has three components:

  • Platform hardening: addressing common security vulnerabilities.
  • Policy-based record retention: limiting the ability to change retention policies for records under retention.
  • Compliance reporting: periodic reporting by a system agent records the system's compliance status.

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