The document summarizes the recordkeeping requirements for swap dealers and major swap participants under the Dodd Frank Act. It outlines that trading records for swaps must be identifiable and searchable by transaction and counterparty. It also details that pre-trade, trade and post-trade voice communications must be captured, tagged, retained and searchable. Records must be retained for 5 years after the termination or maturity of a swap. The document discusses key challenges in complying with these requirements including integrating data from multiple sources and systems in different formats and linking it to unique swap identifiers. It proposes a three phase approach to address these challenges: 1) assess existing solutions and gaps, 2) benchmark providers and identify target solutions, 3) prepare an implementation
This talk uses a case study to demonstrate core data science capabilities in Big Data, infrastructure requirements, and talent profiles that translate to early success. Using the challenge of classifying events in a consumer-oriented website, the discussion is for a wide audience:
- Practitioners will learn two key techniques for early success
- Technologists will learn how teams rely on key infrastructure and where engineers play a valuable role in data sciences
- Hiring managers will expand their knowledge of the skills required to bring business value with data
The Dodd-Frank Act has broad and deep implications that will touch every corner of finance. Title VII impacts the OTC derivatives market. This presentation provides an overview of ISDA's DF Protocol.
Records Retention And Destruction PoliciesRichard Austin
This presentation reviews the legal reasons for companies to establish a records retention and destruction policy and identifies the major steps in establishing a policy. It also presents a high level overview of the new Ontario e-Discovery rules.
Another example of an FSA/FCA final notice, this time given to individuals. The FSA is often seen as an unfair, heavy-handed regulator that damages small to medium size businesses - they're easier targets. So much so, it's scheduled to be disbanded in early 2013.
This talk uses a case study to demonstrate core data science capabilities in Big Data, infrastructure requirements, and talent profiles that translate to early success. Using the challenge of classifying events in a consumer-oriented website, the discussion is for a wide audience:
- Practitioners will learn two key techniques for early success
- Technologists will learn how teams rely on key infrastructure and where engineers play a valuable role in data sciences
- Hiring managers will expand their knowledge of the skills required to bring business value with data
The Dodd-Frank Act has broad and deep implications that will touch every corner of finance. Title VII impacts the OTC derivatives market. This presentation provides an overview of ISDA's DF Protocol.
Records Retention And Destruction PoliciesRichard Austin
This presentation reviews the legal reasons for companies to establish a records retention and destruction policy and identifies the major steps in establishing a policy. It also presents a high level overview of the new Ontario e-Discovery rules.
Another example of an FSA/FCA final notice, this time given to individuals. The FSA is often seen as an unfair, heavy-handed regulator that damages small to medium size businesses - they're easier targets. So much so, it's scheduled to be disbanded in early 2013.
The European Banking Authority (EBA) launched a consultation on its draft Regulatory Technical Standards on assessment methodology for internal ratings-based approach. These draft RTS are a key component of the EBA's work to ensure consistency in models outputs and comparability of risk-weighted exposures and will contribute to harmonize the supervisory assessment methodology across all EU Member States. The consultation runs until 12 March 2015.
what is the best method to sell pi coins in 2024DOT TECH
The best way to sell your pi coins safely is trading with an exchange..but since pi is not launched in any exchange, and second option is through a VERIFIED pi merchant.
Who is a pi merchant?
A pi merchant is someone who buys pi coins from miners and pioneers and resell them to Investors looking forward to hold massive amounts before mainnet launch in 2026.
I will leave the telegram contact of my personal pi merchant to trade pi coins with.
@Pi_vendor_247
BYD SWOT Analysis and In-Depth Insights 2024.pptxmikemetalprod
Indepth analysis of the BYD 2024
BYD (Build Your Dreams) is a Chinese automaker and battery manufacturer that has snowballed over the past two decades to become a significant player in electric vehicles and global clean energy technology.
This SWOT analysis examines BYD's strengths, weaknesses, opportunities, and threats as it competes in the fast-changing automotive and energy storage industries.
Founded in 1995 and headquartered in Shenzhen, BYD started as a battery company before expanding into automobiles in the early 2000s.
Initially manufacturing gasoline-powered vehicles, BYD focused on plug-in hybrid and fully electric vehicles, leveraging its expertise in battery technology.
Today, BYD is the world’s largest electric vehicle manufacturer, delivering over 1.2 million electric cars globally. The company also produces electric buses, trucks, forklifts, and rail transit.
On the energy side, BYD is a major supplier of rechargeable batteries for cell phones, laptops, electric vehicles, and energy storage systems.
If you are looking for a pi coin investor. Then look no further because I have the right one he is a pi vendor (he buy and resell to whales in China). I met him on a crypto conference and ever since I and my friends have sold more than 10k pi coins to him And he bought all and still want more. I will drop his telegram handle below just send him a message.
@Pi_vendor_247
Falcon stands out as a top-tier P2P Invoice Discounting platform in India, bridging esteemed blue-chip companies and eager investors. Our goal is to transform the investment landscape in India by establishing a comprehensive destination for borrowers and investors with diverse profiles and needs, all while minimizing risk. What sets Falcon apart is the elimination of intermediaries such as commercial banks and depository institutions, allowing investors to enjoy higher yields.
how to sell pi coins at high rate quickly.DOT TECH
Where can I sell my pi coins at a high rate.
Pi is not launched yet on any exchange. But one can easily sell his or her pi coins to investors who want to hold pi till mainnet launch.
This means crypto whales want to hold pi. And you can get a good rate for selling pi to them. I will leave the telegram contact of my personal pi vendor below.
A vendor is someone who buys from a miner and resell it to a holder or crypto whale.
Here is the telegram contact of my vendor:
@Pi_vendor_247
when will pi network coin be available on crypto exchange.DOT TECH
There is no set date for when Pi coins will enter the market.
However, the developers are working hard to get them released as soon as possible.
Once they are available, users will be able to exchange other cryptocurrencies for Pi coins on designated exchanges.
But for now the only way to sell your pi coins is through verified pi vendor.
Here is the telegram contact of my personal pi vendor
@Pi_vendor_247
where can I find a legit pi merchant onlineDOT TECH
Yes. This is very easy what you need is a recommendation from someone who has successfully traded pi coins before with a merchant.
Who is a pi merchant?
A pi merchant is someone who buys pi network coins and resell them to Investors looking forward to hold thousands of pi coins before the open mainnet.
I will leave the telegram contact of my personal pi merchant to trade with
@Pi_vendor_247
Introduction to Indian Financial System ()Avanish Goel
The financial system of a country is an important tool for economic development of the country, as it helps in creation of wealth by linking savings with investments.
It facilitates the flow of funds form the households (savers) to business firms (investors) to aid in wealth creation and development of both the parties
how can i use my minded pi coins I need some funds.DOT TECH
If you are interested in selling your pi coins, i have a verified pi merchant, who buys pi coins and resell them to exchanges looking forward to hold till mainnet launch.
Because the core team has announced that pi network will not be doing any pre-sale. The only way exchanges like huobi, bitmart and hotbit can get pi is by buying from miners.
Now a merchant stands in between these exchanges and the miners. As a link to make transactions smooth. Because right now in the enclosed mainnet you can't sell pi coins your self. You need the help of a merchant,
i will leave the telegram contact of my personal pi merchant below. 👇 I and my friends has traded more than 3000pi coins with him successfully.
@Pi_vendor_247
how to sell pi coins in South Korea profitably.DOT TECH
Yes. You can sell your pi network coins in South Korea or any other country, by finding a verified pi merchant
What is a verified pi merchant?
Since pi network is not launched yet on any exchange, the only way you can sell pi coins is by selling to a verified pi merchant, and this is because pi network is not launched yet on any exchange and no pre-sale or ico offerings Is done on pi.
Since there is no pre-sale, the only way exchanges can get pi is by buying from miners. So a pi merchant facilitates these transactions by acting as a bridge for both transactions.
How can i find a pi vendor/merchant?
Well for those who haven't traded with a pi merchant or who don't already have one. I will leave the telegram id of my personal pi merchant who i trade pi with.
Tele gram: @Pi_vendor_247
#pi #sell #nigeria #pinetwork #picoins #sellpi #Nigerian #tradepi #pinetworkcoins #sellmypi
What price will pi network be listed on exchangesDOT TECH
The rate at which pi will be listed is practically unknown. But due to speculations surrounding it the predicted rate is tends to be from 30$ — 50$.
So if you are interested in selling your pi network coins at a high rate tho. Or you can't wait till the mainnet launch in 2026. You can easily trade your pi coins with a merchant.
A merchant is someone who buys pi coins from miners and resell them to Investors looking forward to hold massive quantities till mainnet launch.
I will leave the telegram contact of my personal pi vendor to trade with.
@Pi_vendor_247
The European Banking Authority (EBA) launched a consultation on its draft Regulatory Technical Standards on assessment methodology for internal ratings-based approach. These draft RTS are a key component of the EBA's work to ensure consistency in models outputs and comparability of risk-weighted exposures and will contribute to harmonize the supervisory assessment methodology across all EU Member States. The consultation runs until 12 March 2015.
what is the best method to sell pi coins in 2024DOT TECH
The best way to sell your pi coins safely is trading with an exchange..but since pi is not launched in any exchange, and second option is through a VERIFIED pi merchant.
Who is a pi merchant?
A pi merchant is someone who buys pi coins from miners and pioneers and resell them to Investors looking forward to hold massive amounts before mainnet launch in 2026.
I will leave the telegram contact of my personal pi merchant to trade pi coins with.
@Pi_vendor_247
BYD SWOT Analysis and In-Depth Insights 2024.pptxmikemetalprod
Indepth analysis of the BYD 2024
BYD (Build Your Dreams) is a Chinese automaker and battery manufacturer that has snowballed over the past two decades to become a significant player in electric vehicles and global clean energy technology.
This SWOT analysis examines BYD's strengths, weaknesses, opportunities, and threats as it competes in the fast-changing automotive and energy storage industries.
Founded in 1995 and headquartered in Shenzhen, BYD started as a battery company before expanding into automobiles in the early 2000s.
Initially manufacturing gasoline-powered vehicles, BYD focused on plug-in hybrid and fully electric vehicles, leveraging its expertise in battery technology.
Today, BYD is the world’s largest electric vehicle manufacturer, delivering over 1.2 million electric cars globally. The company also produces electric buses, trucks, forklifts, and rail transit.
On the energy side, BYD is a major supplier of rechargeable batteries for cell phones, laptops, electric vehicles, and energy storage systems.
If you are looking for a pi coin investor. Then look no further because I have the right one he is a pi vendor (he buy and resell to whales in China). I met him on a crypto conference and ever since I and my friends have sold more than 10k pi coins to him And he bought all and still want more. I will drop his telegram handle below just send him a message.
@Pi_vendor_247
Falcon stands out as a top-tier P2P Invoice Discounting platform in India, bridging esteemed blue-chip companies and eager investors. Our goal is to transform the investment landscape in India by establishing a comprehensive destination for borrowers and investors with diverse profiles and needs, all while minimizing risk. What sets Falcon apart is the elimination of intermediaries such as commercial banks and depository institutions, allowing investors to enjoy higher yields.
how to sell pi coins at high rate quickly.DOT TECH
Where can I sell my pi coins at a high rate.
Pi is not launched yet on any exchange. But one can easily sell his or her pi coins to investors who want to hold pi till mainnet launch.
This means crypto whales want to hold pi. And you can get a good rate for selling pi to them. I will leave the telegram contact of my personal pi vendor below.
A vendor is someone who buys from a miner and resell it to a holder or crypto whale.
Here is the telegram contact of my vendor:
@Pi_vendor_247
when will pi network coin be available on crypto exchange.DOT TECH
There is no set date for when Pi coins will enter the market.
However, the developers are working hard to get them released as soon as possible.
Once they are available, users will be able to exchange other cryptocurrencies for Pi coins on designated exchanges.
But for now the only way to sell your pi coins is through verified pi vendor.
Here is the telegram contact of my personal pi vendor
@Pi_vendor_247
where can I find a legit pi merchant onlineDOT TECH
Yes. This is very easy what you need is a recommendation from someone who has successfully traded pi coins before with a merchant.
Who is a pi merchant?
A pi merchant is someone who buys pi network coins and resell them to Investors looking forward to hold thousands of pi coins before the open mainnet.
I will leave the telegram contact of my personal pi merchant to trade with
@Pi_vendor_247
Introduction to Indian Financial System ()Avanish Goel
The financial system of a country is an important tool for economic development of the country, as it helps in creation of wealth by linking savings with investments.
It facilitates the flow of funds form the households (savers) to business firms (investors) to aid in wealth creation and development of both the parties
how can i use my minded pi coins I need some funds.DOT TECH
If you are interested in selling your pi coins, i have a verified pi merchant, who buys pi coins and resell them to exchanges looking forward to hold till mainnet launch.
Because the core team has announced that pi network will not be doing any pre-sale. The only way exchanges like huobi, bitmart and hotbit can get pi is by buying from miners.
Now a merchant stands in between these exchanges and the miners. As a link to make transactions smooth. Because right now in the enclosed mainnet you can't sell pi coins your self. You need the help of a merchant,
i will leave the telegram contact of my personal pi merchant below. 👇 I and my friends has traded more than 3000pi coins with him successfully.
@Pi_vendor_247
how to sell pi coins in South Korea profitably.DOT TECH
Yes. You can sell your pi network coins in South Korea or any other country, by finding a verified pi merchant
What is a verified pi merchant?
Since pi network is not launched yet on any exchange, the only way you can sell pi coins is by selling to a verified pi merchant, and this is because pi network is not launched yet on any exchange and no pre-sale or ico offerings Is done on pi.
Since there is no pre-sale, the only way exchanges can get pi is by buying from miners. So a pi merchant facilitates these transactions by acting as a bridge for both transactions.
How can i find a pi vendor/merchant?
Well for those who haven't traded with a pi merchant or who don't already have one. I will leave the telegram id of my personal pi merchant who i trade pi with.
Tele gram: @Pi_vendor_247
#pi #sell #nigeria #pinetwork #picoins #sellpi #Nigerian #tradepi #pinetworkcoins #sellmypi
What price will pi network be listed on exchangesDOT TECH
The rate at which pi will be listed is practically unknown. But due to speculations surrounding it the predicted rate is tends to be from 30$ — 50$.
So if you are interested in selling your pi network coins at a high rate tho. Or you can't wait till the mainnet launch in 2026. You can easily trade your pi coins with a merchant.
A merchant is someone who buys pi coins from miners and resell them to Investors looking forward to hold massive quantities till mainnet launch.
I will leave the telegram contact of my personal pi vendor to trade with.
@Pi_vendor_247
Poonawalla Fincorp and IndusInd Bank Introduce New Co-Branded Credit Cardnickysharmasucks
The unveiling of the IndusInd Bank Poonawalla Fincorp eLITE RuPay Platinum Credit Card marks a notable milestone in the Indian financial landscape, showcasing a successful partnership between two leading institutions, Poonawalla Fincorp and IndusInd Bank. This co-branded credit card not only offers users a plethora of benefits but also reflects a commitment to innovation and adaptation. With a focus on providing value-driven and customer-centric solutions, this launch represents more than just a new product—it signifies a step towards redefining the banking experience for millions. Promising convenience, rewards, and a touch of luxury in everyday financial transactions, this collaboration aims to cater to the evolving needs of customers and set new standards in the industry.
Exploring Abhay Bhutada’s Views After Poonawalla Fincorp’s Collaboration With...beulahfernandes8
The financial landscape in India has witnessed a significant development with the recent collaboration between Poonawalla Fincorp and IndusInd Bank.
The launch of the co-branded credit card, the IndusInd Bank Poonawalla Fincorp eLITE RuPay Platinum Credit Card, marks a major milestone for both entities.
This strategic move aims to redefine and elevate the banking experience for customers.
how to sell pi coins on Bitmart crypto exchangeDOT TECH
Yes. Pi network coins can be exchanged but not on bitmart exchange. Because pi network is still in the enclosed mainnet. The only way pioneers are able to trade pi coins is by reselling the pi coins to pi verified merchants.
A verified merchant is someone who buys pi network coins and resell it to exchanges looking forward to hold till mainnet launch.
I will leave the telegram contact of my personal pi merchant to trade with.
@Pi_vendor_247
1. Dodd Frank Act – Recordkeeping Requirements
Stephanie Baruk sbaruk@chappuishalder.com
June 2013
2. Context and Objectives
Comply to recordkeeping obligations
1. The Commission modified the proposed rule such that each transaction record does not need to be maintained as separate electronic files.
2. Under § 23.202(a)(3)(iii), SDs and MSPs are also required to retain records of portfolio reconciliation results, searchable by transaction and counterparty, in order to comply with § 23.502 Portfolio Reconciliation.
In order to enhance risk management, the CFTC has mandated that Swaps Dealers (SD) and Major Swaps Participants (MSP)
maintain daily trading records for swaps as well as all related records, including cash and forward transactions. This
encompasses all written and oral communications, such as e‐mail, instant messages, and telephone calls.
Requirements Description
Identifiable and Searchable by Transaction
and Counterparty
Trading records for swaps need to be identifiable and searchable by transaction and counterparty.
Voice Recordings Pre‐trade, trade and post‐trade voice communications relating to a swap need to be captured, tagged,
retained, and searchable.
“Readily Accessible” and Open to Inspection Swap records must be readily accessible for the first two years of the five year retention period, and is
subject to inspection by the CFTC and US Department of Justice.
Time‐stamped in Universal Coordinated Time
(UTC)
SDs and MSPs must use UTC to record the date and timing (to the nearest minute) of:
• all quotations exchanged prior to execution;
• swap and related transaction executions; and
• swap confirmation.
Audit Trail A complete and comprehensive audit trail is required to enable accurate trade reconstructions.
Data Storage Records must be retained for a period of five years past the term of the swap (termination or maturity).
Oral recording retention however, is only one year.
Records of quotes, solicitations, bids, offers,
instructions, trading, and prices
Reliable timing data to complete trade
reconstructions
Date and UTC timestamps for all quotes exchanged
Pre‐Trade
Counterparty name and unique counterparty
identifier (UCI)
Swap terms
Trade ticket
Unique swap identifier (USI)
Date and UTC timestamp of swap execution
Date and title of agreement to which the swap is
subject
Product name and unique product identifier (UPI)
Execution price
Fees or commissions, and other expenses
Any other relevant information
Execution
Records of post‐execution trade processing and
events
Post‐trade
2
3. Key Challenges, Issues and Success Factors
Key challenges Main issues to be expected
Key success factors
• Relevant content must be readily accessible and
immediately available to the regulator
• Multiple channels of communication must be included, such
as email, IM, voice, database, and documentation, including
pre‐trade communications
• A wide variety of data and file formats is within the scope of
the request
• Large numbers of existing content repositories and
databases must be mined
• Relevant information must be associated with a unique swap
identifier only made available after booking trade with
information related to the trade
• Most communications and documents are not organized by
swap identifier
• Information must be preserved on WORM (write once, read
many) disks for five years beyond the life of the deal
• Information in any channel may be in any language
• Need consensus from all entities on the solution as it should
be globally deployed
• Systems are disconnected and often managed across different parts of the
organization
• Existing repositories of information utilize very different technologies and
contain a wide variety of file formats and database schemas
• Systems reside across multiple geographic regions
• Existing data is held in a wide variety of data formats
• Navigating internal infrastructure can be a challenge
• Locating relevant content, particularly in audio, IM, and email, is
technologically difficult with traditional, structured data systems
• Comply to the regulatory obligation while optimizing costs related to the
development of new solutions
• Leverage existing solutions in other locations such as:
Symantec Enterprise Vault for email storage
NICE for voice recording
• Review difficulties encountered and main challenges when implementing
the recordkeeping solutions in the US
• Ensure consistency of the tool selection with other regulatory
requirements related to recordkeeping obligations (Emir, Market Abuse,
MIFID..) in order to anticipate future developments
3
4. Global Approach
ApproachDeliverables
Benchmark and comparative analysis
IT solutions assessment (pros & cons)
Best practices of the competitors
Target solution summary
Perform comparative analysis of existing
market solutions (references, speech‐to‐
text functionalities, storage capacity,
search functionalities, compliance level,
integration and exploitation costs…)
Study feasibility, costs and benefits of
proposed solutions
Evaluate pros & cons
Identify competitors’ best practices,
encountered issues, and chosen solution’s
advantages
Synthesize advantages and drawbacks of
each provider within the panel
Validate target solution
II – Benchmark & Target Solution
Analyze the DFA regulation and how it can
be integrated within your organization
Define pilot approach and prioritization if
necessary, eligibility criteria and perimeter
Perform a detailed cartography of
products / volumes / systems / platforms /
communication tools along with
specificities by entity
Identify existing recordkeeping solutions
within other entities and their compliance
level
Assess operational impacts of new
processes
Perform gap analysis (requirements vs.
current state) and identify actions to
undertake
Draft expression of needs based on gap
analysis and address organizational or
operational points, if necessary
I – As is Analysis & Diagnosis
Regulatory analysis and impact assessment
Cartography of impacted processes, tools and
products
Mapping of existing recordkeeping solutions
Gap analysis and identification of needs
Elaborate implementation roadmap
Coordinate draft of functional
specifications
Define role and responsibilities of new
processes
Communicate to F/O the expected
changes
Ensure follow‐up of the development
planning and UATs
Monitor budget
Define and implement escalation
procedures, if necessary
Communicate to Steering Committee
progress of implementation
III – Preparation of the
Implementation
Roadmap
Communication plan
RACI
Reporting and monitoring tools
Escalation process
16/09 14/10 28/10 31/12
4
5. I ‐ As‐is Analysis and Diagnosis
Approach Illustration: Regulation Analysis
Deliverables
Regulatory analysis and impact assessment
Cartography of impacted processes, tools and
products
Mapping of existing recordkeeping solutions
Gap Analysis and identification of needs
Non‐compliance cartography and regulatory risk profile
Analyze the DFA regulation and how it can be specifically
adapted to your environment (itemization) and validate
eligibility criteria and scope
Define pilot approach and prioritization (structured vs.
unstructured data, business lines, entity, communication tools
– IM, mobile and landline phones, Mail, Fax, docs, etc…)
Perform a detailed cartography of products / volumes /
systems / platforms / communication tools (IM, voice, email,
fax, documents etc.) along with specificities by entity
Identify of existing recordkeeping solutions for structured and
unstructured data within the different entities and their
compliance level with the DFA requirements
Assess operational impacts of new processes
Perform a gap analysis of requirements vs. current state and
identify actions to be set up in terms of (if any):
• Technical developments and new solutions
• New information to be added to current flows
• New responsibilities to be defined
• Empowerment of F/O on process changes…
Draft an expression of needs based on gap analysis and address
organizational or operational points, if necessary
5
6. II – Benchmark and Target Solution
Approach
Perform a comparative analysis of market solutions in terms of:
• References
• Speech‐to‐text functionalities (quality, #of languages etc.)
• Storage capacity
• Search functionalities
• Compliance level with the DFA requirements
• Integration and exploitation costs…
Study the feasibility, costs and benefits of proposed solutions
including tactical solutions by improving the existing US
solutions:
• Add‐on of the NICE speech‐to‐text functionality with
indexation capability
• Utilization of the GlobaNet Connector for integration of
voice records to Enterprise Vault
• Deployment of the solution in other entities
Evaluate the different alternatives (pros & cons)
Identify best practices of competitors, their main issues, and
their chosen solution’s advantages
Validate the target solution
Illustration: Benchmark
Deliverables
Benchmark and comparative analysis
IT solutions assessment (pros & cons)
Best practices of the competitors
Target solution summary
0
1
2
3
4
Compliance
Search
Storage capacity
Speech to text
Costs
References
Solutions assessmentComparative analysis
6
7. Description Core Capabilities Competitive Advantage
“The NICE Trading Floor Compliance
solutions can provide the ability to
reconstruct trade communications as they
happen, tie them to swap transactions and
enable a search through every type of
related interaction including voice, instant
messaging and email.”
‐ Ability to reconstruct all trade communications via the
different channels as they happened over time
‐ Correlate transaction and communications to make them
searchable “by trade”
‐ Automatically raise alerts for non‐compliant communications
‐ Discover current communications topics and trends
‐ Provides compliance departments with insights and real‐time
impact tools that will increase compliance protection against
new regulations
‐ Offers a voice capture platform that can process
Turrets, PBX phones, Mobile devices via various
connection method to suit customer needs
‐ Metadata that can be captured and tagged may be
counterparty, SWAP Document ID, SWAP
Transaction ID, SWAP deal names, stocks / currency
/ commodities names assisted with the SWAP, etc.
“The Clearwell eDiscovery Platform, now
from Symantec, is the leading electronic
discovery software solution that enables
enterprises, governments and law firms to
manage legal, regulatory and investigative
matters using a single application”
‐ Includes semantic analysis, native file format review for over
500 file types, and predictive coding
‐ Platform that is easy to use and administer
‐ Streamline the entire eDiscovery life‐cycle by using a single
application that spans legal hold and collections through
analysis, review, and production
‐ Modular approach enables customizable eDiscovery
solution.
‐ Clearwell can be directly integrated with Enterprise
Vault, which is the market leader in enterprise
information archiving solutions.
‐ Ease of use, simple deployment and time‐to‐value
“Bloomberg Vault offers an end‐to‐end
solution for real‐time policy management,
enterprise archiving and eDiscovery to help
address the needs of legal and compliance
professionals.”
‐ Fully hosted platform offers end‐to‐end record‐keeping to
satisfy Dodd‐Frank requirements, including voice compliance.
‐ Tags records by counter‐party and archives regulated trades.
‐ Offers scalable archiving solutions.
‐ Provides native integration to the proprietary
Bloomberg tools.
‐ Local Vault allows data to be managed globally
according to a set of corporate policies, but stored
locally in various countries.
“Global Relay is the market leader in
compliance messaging, archiving and
message management.”
‐ Captures incoming, internal and outgoing electronic messages
in real time.
‐ Web‐based archiving tool integrates with email and
messaging systems to deliver superior search, retrieval and
monitoring capabilities.
‐ Unlimited cloud storage.
‐ Search and retrieve capabilities available on PC and
mobile devices.
‐ Exceptional service ‐ zero messages lost, 99.999%
uptime, and 24‐hour response to e‐discovery and
audit requests.
“Leader company in interaction analytics,
renowned for its ability to transform
unstructured data to structured
information through language analysis”
‐ Extracts key data from voice and text interactions.
‐ Reconstructs trades locating all interactions associated to it.
‐ Identifies risk patterns and compliance rules endorsement.
‐ Multi‐lingual solution for voice and text.
‐ No technical infrastructure changes required.
“Autonomy, an HP Company, is a global
leader in software that processes human
information, or unstructured data,
including social media, email, video, audio,
text and web pages, etc. “
‐ Provides a single platform approach for managing all
information, enterprise‐wide, in accordance with
organizational & regulatory policy and business goals
‐ Automatic content classification feature recognizes trade
types, transactions, buyers and sellers.
‐ Multi‐lingual solution for voice and text.
‐ Leader in cloud archiving.
‐ Autonomy IDOL technology supports complex
unstructured content analysis using probabilistic
modeling and Bayesian inference.
II – Benchmark and Target Solution
Overview on the panel
7
8. III – Preparation of the Implementation
Approach
Elaborate implementation roadmap
Coordinate draft of functional specifications
Define roles and responsibilities in the new process, if any
Communicate to Front Office the expected changes
Ensure follow‐up of the development planning and UATs
Monitor budget
Implement escalation procedures and escalate alerts, if needed
Communicate to the Steering Committee the progress of the
implementation
Illustration: Roadmap
Deliverables
Roadmap
Communication plan
RACI
Reporting and monitoring tools
Escalation process
Monitoring toolsImplementation Plan
8