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HPE 3PAR File Persona with File Lock Compliance meets SEC Rule 17a-4 requirements


HPE 3PAR StoreServ using File Persona with File Lock Compliance is designed for users who want to preserve critical electronic records and meet SEC Rule 17a-4 requirements. Learn more here, then read the detailed white paper from Cohasset Associates.

Compliance_SEC_3PAR.jpgToday, your enterprise has myriad applications, ranging from email servers to rich content management applications. All that data across all these applications needs to meet strict regulatory compliance retention. For example, financial institutions such as banks and broker-dealer organizations are subject to Rule 17a-4 issued by the U.S. Securities and Exchange Commission (SEC) regarding electronic data storage. Rule 17a-4 has specific requirements pertaining to length, format, quality, availability, accountability and many other aspects of record retention. Whether the archiving solution can support Rule 17a-4 requirements is often a key consideration for SEC-regulated customers in technology adoption.

How HPE 3PAR meets your SEC rule 17a-4(f) compliance needs

HPE 3PAR StoreServ using File Persona with File Lock Compliance is designed for users who want to preserve critical electronic records. The Compliance mode aligns with the SEC rule 17a-4(f). Further we are pleased to announce that we have received a third-party assessment report that talks about File Lock Compliance on 3PAR StoreServ with File Persona, the ability to help meet the requirements of SEC 17a-4(f).Chohasset Report_3PAR.jpg

This assessment is provided by Cohasset Associates, a highly respected consulting firm with more than 40 years of experience and knowledge related to the legal, technical, and operational issues associated with the records management practices of companies regulated by the US SEC (Securities and Exchange Commission) and the US CFTC (Commodity Futures Trading Commission).

The assessment report describes the capabilities of HPE 3PAR StoreServ storage using File Persona with File Lock Compliance enabled on the File Store and assesses compliance with relevant requirements of the Securities and Exchange Commission (SEC) in regulation 17 CFR § 240.17a-4(f), which regulates exchange members, brokers or dealers. The white paper provides an in-depth analysis of 3PAR File Persona with File Lock Compliance features and functionalities against each of the requirements under Rule 17a-4.

Download the complete assessment report from Cohasset Associates: SEC 17a-4(f) Compliance Assessment for
HPE 3PAR StoreServ with File Lock Compliance

 Vivek Pamadi_HPE Storage.jpegMeet Around the Storage Block blogger Vivek Pamadi, Senior Product Manager, HPE Storage.




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