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Compliance standards exist to verify that products comply with different industry standards. It is critical that users ensure that a product used for secure retention of archive data receive a technical certification of standards compliance from a third party with deep knowledge of regulatory standards and industry credibility.
In general, there are five United States federal regulations, the most notable being the SEC Rule 17. There is one international ISO standard and one European Union Electronic Records Management Guidance document. Refer to the following table that lists various compliance regulations, industries impacted, and the relevant RL mode that meets those requirements.
Compliance Regulation | Regulatory Agency | Industry/Vertical Impacted | Recommended Retention Lock Feature |
Sarbanes-Oxley (SOX) | Securities and Exchange Commission (SEC) | Any Public Company | Compliance |
SEC 17a-4(f) | Securities and Exchange Commission (SEC) | Financial Services | Compliance + DD Replication |
FINRA Rule 4511(c) | Securities and Exchange Commission (SEC) | Financial Services | Compliance + DD Replication |
21 CFR Part 11 | Food and Drug Administration (FDA) | Pharmaceutical | Governance, Governance+, Compliance |
CFTC Rule 1.31b | Commodity Futures Trading Commission | Financial Services | Compliance |
HIPAA | US Health and Human Services | Healthcare Services | Governance, Governance+, Compliance |
ISO Standard 15489-1 | International Standards Organization | Any Public Company | Compliance |
Model Requirements for the Management of Electronic Records (MoREQ 2) | European Commission | Any Public Company | Compliance |