The Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) have instituted regulations that demand compliance surrounding the storage of financial records and electronic communications.
IT departments must implement processes that answer rules.
Genie-Soft assists with SEC/NASD Regulations in each of these areas:
| Requirments |
How Genie-Soft Complies |
Preserve the records exclusively in a non-rewriteable, non-erasable format
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Genie-Soft preserves the records exclusively in a non-rewriteable, non-erasable format. |
| Verify automatically the quality and accuracy of the storage media recording process |
The data is verified automatically every time a backup takes place. |
| Have the capacity to readily download indexes and records preserved on the electronic storage media to any acceptable medium acceptable. |
The data is available for online restores 24/7, 365 days a year.
All backups are stored with the catalogs (indexes) and accessible to authorized users with proper authentication at all times. |
| Store separately from the original a duplicate copy of the record stored on any medium acceptable for the time required |
Genie Online backup uses a process that backs up the original and duplicates it to a remote location. This is not a "mirrored" process, but a process that insures that the original data and any duplicate copies are identical. |
| Serialize the original, and, if applicable, duplicate units of the storage media, and time-date for the required period of retention the information placed on such electronic storage media |
All access to the stored data is documented and time/date stamped. |
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