Financial Services – SEC

SEC 17a4 Compliant Archive Data Migration

Financial institutions with broker-dealer operations must comply with the provisions of SEC rule 17a4 when storing transaction records and other regulated data in electronic form. Many firms use EMC Centera® systems which preserve archived data with audit trails. As these archive storage systems near the end of their useful life, migrating to new and potentially less-costly platforms presents data retention challenges. From preserving legal holds to email application data retention, archive data migration from legacy systems requires skilled professionals to ensure all of your information is retained.

Interlock provides fast, reliable and risk-free archive migration services for SEC-regulated archive data. Our approach preserves archived data on the source EMC Centera® or CAS system, cloning archive data and transferring it to the new archive data solution without disrupting production systems. Many archive data migration companies leave you on your own to try to figure out data regulatory compliance; at Interlock, we support you through every step of your archive storage migration. Contact us today to learn more about our SEC17a4 compliant archive data migration solutions.

Archive data migrations for SEC-regulated data include:

• Pre-migration assessment and planning for your archive data migration
• Support for a variety of archive migration configurations (CAS-CAS, CAS-NAS, NAS-NAS, CAS-Object)
• Data quality review, archive migration verification, with preservation of legal holds
• Support for key financial and business applications