Historical Surveillance Data Solutions

Meeting Your Proof of Supervision Retention Requirements

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Support for Your Business

Technically Creative is the industry expert focused on supporting and maintaining your historical surveillance data to meet legacy retention and proof of supervision requirements when migrating surveillance systems. When moving to a new surveillance platform, it is important to have a thorough plan in place for your historical surveillance data. Our goal is to provide comprehensive tailored solutions to support your business during and after your surveillance migration.

SEC Rule 17a-4 Requirements

Surveillance information and records must be archived according to SEC Rule 17a-4, requiring businesses to preserve data for a period of no less than six years, with the first two years stored in an immediately accessible location. Your multi-dimensional surveillance data must be available to search when needed, such as during an audit or for internal company reviews. Unlike a typical data migration, messages themselves need to reference the metadata that contains the actual surveillance information, such as the reason a message was under surveillance, what violation was triggered, participants involved,and the action taken as a result. Technically Creative will provide your business with a solution to satisfy the SEC Rule 17a-4 requirements.

Historical Surveillance Data Solutions

Technically Creative currently provides three different solutions for your historical surveillance data management needs: maintaining surveillance data in your current environment, building a searchable onsite WORM storage and reporting system, or migrating to an archive or new platform of your choice.

Three Solution Options

Maintain 01

In choosing to maintain your current surveillance environment, Technically Creative will support your team in maintaining surveillance data within your existing system. Maintaining your current system is the simplest surveillance data management solution offered by TC. This option can be utilized as an immediate temporary solution until a long-term plan is established and all surveillance data is properly migrated to a different platform.

Build 02

Technically Creative will build a new searchable onsite WORM (Write Once Read Many) storage version of the database outside of the platform to manage and store surveillance data. This solution is the most comprehensive of the three. The built database is capable of supporting queries and audit requests. You may choose for it to be built either onsite or within the cloud. With this option, your historical surveillance data will be stored according to retention requirements, with potential compatible systems being developed for the future and without license costs going forward.

Migrate 03

Technically Creative will transfer your surveillance data to the archive, platform, or new surveillance system of your choice. As the most complex solution of the three, TC is responsible for extracting metadata and inserting it into a new database. With this option, it is not necessary to keep your old surveillance system online. We work with numerous archive and surveillance platforms, though it is important to note that not all systems will be able to accept your surveillance data.

When choosing the migrate option, you can expect:

  • Process design, architecture, process documentation (required for evidence to regulators).
  • Set up including field mappings.
  • Project management.
  • Record migration and 1 to 1 reconciliation.
  • Migration data includes: Blob, supervision and historical policy data.
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