Achieve SEC/NASD Data Compliance
  • Stored information is encrypted and can only be accessed by the firm who owns the data.
  • Files are securely stored at geographically diverse datacenters, in accordance with GLBA standards.
  • Data can be restored swiftly and accurately to a specific point-in-time.
  • Reporting provides a clear audit trail with user access date and time-stamp detail.

  • SEC/NASD REQUIREMENTS ABS COMPLIANCE STANDARDS
  • Verify automatically the quality and accuracy of the storage media recording process.
  • Data is verified automatically each time a backup occurs.
  • Serialize and time-date units of the storage media for the required retention period in which the information stored on such electronic storage media exists.
  • If data is restored to a customer's system, the original copy is stored in the exact state until the retention period expires, whether that period is one day or seven years. Reporting gives regulators a custody chain of the stored information with user access date and time stamp detail.
  • Have the capacity to readily download indexes and records preserved on the electronic storage media to any acceptable medium.
  • Data is available for restore 24x7x365. Recovery is hardware independent. All backups are stored with catalogs (indexes) and are accessible at all times.
  • Store separately from the original a duplicate copy of the record stored on any medium acceptable for the required time.
  • The ABS platform uses a process that backs up the original and duplicates to remote locations. This process ensures the original data and duplicate copies are identical. The data is stored on fault-tolerant disk media.

  • * Note: ABS does not have access to the stored contents. It is the customers responsibility for data maintenance to be in accordance with SEC/NASD standards.