Meet your Dodd-Frank requirements with HP Information Governance


The Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA) has ushered in enormous and lasting legal, regulatory, and policy changes that have fundamentally changed the way organizations conduct business and manage their enterprise information.

As stipulated by the DFA, all information handled by a major swap participant and related to an executed trade must be held and stored for the duration of the transaction vehicle—and upon request it must be produced in a readily accessible fashion. This means you must be able to provide all relevant records associated with the trade within 24-72 hours of a regulator request. Many organizations continue to struggle with not only meeting this mandated timeframe, but also in efficiently responding with the right information that meets the standards of regulators. Some even lack the systems and technology to accurately and effectively tag communications with their affiliated trades. Without the proper response, regulators can initiate repeated requests to unprepared organizations resulting in tremendous resources and significant costs to reproduce information. Failure to timely and properly respond can lead to severe financial penalties, sanctions, and possible loss of the ability to trade in the U.S. HP’s Dodd-Frank Compliance solution, with analytics and automated classification technology, can help manage your diverse enterprise information to maintain Dodd-Frank compliance, and help optimize regulatory response.

HP Dodd-Frank Compliance solution capabilities

  • Supports automated capture at the source of structured and unstructured content
  • Automatically classifies content into financial transaction folders
  • Provides intelligent modeling of structured platforms or feeds, to extract data on a scheduled basis
  • Retains content in a compliant archive in a self-describing, form-independent manner from the source system
  • Enables retention management and supports audited preservation and disposition at a granular level
  • Expedites intelligent search and discovery without complex applications or restoration to the source system
  • Provides access to a wide range of file formats, including email, files, instant message, and structured data



Why choose HP to meet your DFA requirements?

  • HP's information governance solutions have been proven by the largest global financial institutions
  • HP is the market leader in records management, archiving, ECM and automatic content classification
  • HP is uniquely positioned to meet DFA recordkeeping requirements with content captured at the source
  • HP solutions enable you to gain in-depth knowledge and visibility across your organization's information
  • HP's trusted solutions are supported by unmatched compliance experience and expertise

Learn more about HP Information Governance offerings