Regulatory benefits

THE UNIFIED REPOSITORY OF RECORD FOR CONTENT

Holistic Approach: Arkivy extends the concept of archiving to include management of the operations around
the archiving process and provides an eco-system of data management tools and services for the content. This
embrace of the full content collection and archiving process provides the necessary visibility and tools to manage
regulatory content in a Compliance focused approach that provides peace of mind under any regulatory regime
from MIFID2, Dodd-Frank, FINRA, and beyond.

Transparency Into Operations:With a realtime dashboard, alerts and reports, the Legal and Compliance team have new oversight tools into the operations of the team administering the archiving. No more surprise content blackouts. With this level of transparency, the firm can attest to regulators that they are properly monitoring and governing the archiving of their regulated content.

Single Reference Data Source: With all of your regulated (and possibly nonregulated as well) content in a single archiving solution, you’ll be able to search for content and generate reports for audit and regulatory inquiries efficiently and without need to collate data from multiple data stores in different formats thus saving time, effort and money. This reference repository can be seen as a data warehouse which can be accessed by other applications that may need the content for other purposes.

Single Reference Data Source: With all of your MIFID2 regulated content in a single archiving solution, you’ll be able to search for content and generate reports for audit and regulatory inquiries efficiently and without need to collate data from multiple data stores in different formats thus saving time. This reference repository can be seen as a data warehouse which can be accessed by other applications that may need the content for other purposes.

Curation & Analytics: Arkivy can add organizational, geographic, human resource and business relationship data to the content search index. With this additional data, new insights can be gained from searches of the data across dimensions that have not typically been previously available, or if so, only after significant post-processing effort by BigData-like systems at exceptional costs.

Foundation for ‘Best of Breed’ Discovery & Surveillance Applications: Arkivy allows export of the curated content to any 3rd party application that may be more tailor fit to a specific task such as AML Surveillance, Risk Reporting or Advanced E-Discovery. Arkivy will ensure that all exported content are tracked for governance and data leakage purposes. This will be especially important for finding private data covered under the forthcoming GDPR regulations.

C-Level & Regulatory Assurance: : Knowing and understanding where all regulatory digital content originates, flows to and eventually stored is of the utmost concern to executives responsible for oversight of critical business records under MIFID2. With our holistically designed reporting and oversight tools, your executive officers responsible for MIFID2 or any other compliance regime will be able to perform their oversight more efficiently and with confidence.