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Turnkey solutions to meet corporate and regulatory governance requirements
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Information Governance Solutions

Using Microsoft’s ECM platform, NteliPath offers organizations turnkey solutions to establish and enforce retention and compliance workflow processes to meet various regulatory and corporate governance requirements including financial Industry regulations, Health Care and Pharmaceuticals, and Government among others.

NteliPath archiving and retention management solutions supports a wide range of disk, optical and tape devices to provide Write Once Read Many (WORM) capabilities including the ability to set flexible retention policies to meet SEC 17-a4 or other requirements. The solutions also provide Designated Trusted Third Party (DTTP) services that enable compliance officers (internal and external) to have access to self contained environment(s) to navigate, search and audit a subset of or the entire archive.

Common to all regulations is the need for robust protection of content throughout its entire lifecycle (from creation, through a period of active use, and then into a period of archival and long-term retention). The fact that regulated organizations are subject to audits of their compliance practices and solutions creates the need for efficient discovery and retrieval of compliant records throughout their lifecycle. The huge growth of electronic information, including email records, as well as the on-going introduction of new regulations, are placing new and greater demands on organization to adopt well thought of ECM and information governance strategies. Compliance is no longer optional – it is essential, acting as the driving force behind the creation and retention of more types of information and records. Existing processes and technologies need to be reviewed and in many circumstances updated/replaced in order to meet the demands of storing more records for longer periods and having to retrieve and prove the authenticity of records as and when needed. NteliPath provides the solutions and expertise to address the unique features of these regulations, and in particular:

  • Securities & Exchange Commission – SEC 17a-4
  • National Association of Securities Dealers – NASD 3010 & 3110
  • International Convergence of Capital Measurements and Standards - Basel II
  • The Financial Modernization Act - Gramm-Leach-Blily
  • Health Insurance Portability and Accountability Act – HIPAA
  • Food and Drug Administration Enforcement Policy – 21 CFR Part11
  • Sarbanes Oxley Act – SOX
  • Federal Rules of Civil Procedures – FRCP Amendments
  • Personal Information Protection & Electronic Documents Act - Canadian PIPEDA
  • US Department of Defense Records Management Application Standard – DoD 5015.2

For further information on how NteliPath solutions help organizations in their compliance efforts please click here to complete an Information Request Form.

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