Record Retention

Added by Bijan Marjan, last edited by Bijan Marjan on Apr 10, 2006

We have a specific regulatory requirement for which I am seeking some ideas. Being in the financial services industry, the Securities and Exchange Commission (SEC) has mandated under SEC Regulation 17a (17a-4) that all electronic communications must be stored in SEC compliant storage for a period of 3 years. In speaking to our lawyers and compliance personnel, this applies to wiki's. Specifically:

  • all the information in the wiki, including all changes, must be stored in SEC compliant storage
  • the information must be viewable via an approved mechanism

Since our email system is Reg 17a-4 compliant, we are thinking of configuring Confluence to transmit an email on every change that is made on every page (yes, this will generate lots of email). I wanted to know first of all if this is possible (default email subscription to some generic email address).

Also, if anyone has better suggestions I would appreciate any input as this issue is faced by all those in the financial securities industry.

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Comments (4)

 

  1. Apr 10, 2006

    David Peterson says:

    It would certainly be possible to have it send out emails on all changes. You ca...

    It would certainly be possible to have it send out emails on all changes. You can already set up 'watches', but a more reliable method would probably be to create a plugin which listened to page/news/comment/attachment events and sent an email manually. That would also let you specify the format of the email.

    1. Apr 10, 2006

      Dan Hardiker says:

      This is an ideal candidate for the CONFEXT:Event Manager Plugin ... Im sure I'll...

      This is an ideal candidate for the Event Manager Plugin ... Im sure I'll finish it one day.

  2. Apr 10, 2006

    Guy Fraser says:

    Bijan, If you need any help getting the tracking in place both with your centra...

    Bijan,

    If you need any help getting the tracking in place - both with your central SEC compliant storage and also on-screen auditing, give us a call: http://adaptavist.com

  3. Aug 27, 2007

    Adam Steinberg says:

    Bijan,  I'd suggest taking a look Techrigy's offerings (www.techrigy.com).&...

    Bijan,

     I'd suggest taking a look Techrigy's offerings (www.techrigy.com).  We have products that can do the record retention for you, as well as helping to ensure complete compliance with wikis.  Feel free to email me at adam@techrigy.com if you'd like to chat and see if we could help you meet SEC standards.  We also have white papers and a free evaluation available at our website.

     
    - Adam