Case Study: Investment Management Firm Implements Permeon to Comply with SEC Regulations

Published by: IDC

Published: Jul. 7, 2004 - 6 Pages

Table of Contents

Abstract

This IDC study highlights the experience of one investment management firm in developing the process and selecting and implementing the technology to meet the requirements of the SEC 17a-4 regulation.

The process of implementing a compliance solution is much broader than just selecting a right technology. A joint effort by business management and the corporate IT department is essential for building an infrastructure that supports regulatory requirements on both business and technology levels.

"While existing compliance solutions from top storage vendors are well-suited for large financial institutions, they are often inadequate to meet the needs of small and medium-sized firms," says Natalya Yezhkova, IDC senior research analyst, Storage Systems. "To meet regulatory requirements and satisfy specific business needs, SMBs turn for help to start-ups such as Permabit and CommVault. The flexibility and responsiveness of these smaller suppliers allow all parties to work collaboratively to build the most efficient solution."

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