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CH&Cie - DFA Recordkeeping - Teaser
1.
Dodd Frank Act
â Recordkeeping Requirements Stephanie Baruk sbaruk@chappuishalder.com June 2013
2.
Context and Objectives Comply to recordkeeping obligations 1. The Commission modified the proposed rule such that each transaction record does not need to be maintained as separate electronic files. 2. Under § 23.202(a)(3)(iii),  SDs and MSPs are also required to retain records of portfolio reconciliation results, searchable by transaction and counterparty, in
order to comply with § 23.502 Portfolio Reconciliation. In order to enhance risk management,  the CFTC has mandated that Swaps Dealers (SD) and Major Swaps Participants (MSP) maintain daily trading records for swaps as well as all related records, including cash and forward transactions. This encompasses all written and oral communications, such as eâmail, instant messages, and telephone calls. Requirements Description Identifiable and Searchable by Transaction and Counterparty Trading records for swaps need to be identifiable and searchable by transaction and counterparty. Voice Recordings Preâtrade, trade and postâtrade voice communications relating to a swap need to be captured, tagged, retained, and searchable. âReadily Accessibleâ and Open to Inspection Swap records must be readily accessible for the first two years of the five year retention period, and is subject to inspection by the  CFTC and US Department of Justice. Timeâstamped in Universal Coordinated Time (UTC) SDs and MSPs must use UTC to record the date and timing (to the nearest minute) of: ⢠all quotations exchanged prior to execution; ⢠swap and related transaction executions; and ⢠swap confirmation. Audit Trail A complete and comprehensive audit trail is required to enable accurate trade reconstructions. Data Storage Records must be retained for a period of five years past the term of the swap (termination or maturity). Oral recording retention however, is only one year.Â ď§ Records of quotes, solicitations, bids, offers, instructions, trading, and prices ď§ Reliable timing data to complete trade reconstructions ď§ Date and UTC timestamps for all quotes exchanged PreâTrade ď§ Counterparty name and unique counterparty identifier (UCI) ď§ Swap terms ď§ Trade ticket ď§ Unique swap identifier (USI) ď§ Date and UTC timestamp of swap execution ď§ Date and title of agreement to which the swap is subjectÂ ď§ Product name and unique product identifier (UPI) ď§ Execution price ď§ Fees or commissions, and other expenses ď§ Any other relevant information Execution ď§ Records of postâexecution trade processing and events Postâtrade 2
3.
Key Challenges, Issues and Success Factors Key challenges Main
issues to be expected Key success factors ⢠Relevant content must be readily accessible and immediately available to the regulator ⢠Multiple channels of communication must be included, such as email, IM, voice, database, and documentation, including preâtrade communications ⢠A wide variety of data and file formats is within the scope of the request ⢠Large numbers of existing content repositories and databases must be mined ⢠Relevant information must be associated with a unique swap identifier only made available after booking trade with information related to the trade ⢠Most communications and documents are not organized by swap identifier ⢠Information must be preserved on WORM (write once, read many) disks for five years beyond the life of the deal ⢠Information in any channel may be in any language ⢠Need consensus from all entities on the solution as it should be globally deployed ⢠Systems are disconnected and often managed across different parts of the organization ⢠Existing repositories of information utilize very different technologies and contain a wide variety of file formats and database schemas ⢠Systems reside across multiple geographic regions ⢠Existing data is held in a wide variety of data formats ⢠Navigating internal infrastructure can be a challenge ⢠Locating relevant content, particularly in audio, IM, and email, is technologically difficult with traditional, structured data systems ⢠Comply to the regulatory obligation while optimizing costs related to the development of new solutions ⢠Leverage existing solutions in other locations such as: ďź Symantec Enterprise Vault for email storage ďź NICE for voice recording ⢠Review difficulties encountered and main challenges when implementing the recordkeeping solutions in the US ⢠Ensure consistency of the tool selection with other regulatory requirements related to recordkeeping obligations (Emir, Market Abuse, MIFID..) in order to anticipate future developments 3
4.
Global Approach ApproachDeliverables ďź Benchmark and comparative analysis ďź IT solutions assessment (pros & cons) ďź
Best practices of the competitors ďź Target solution summaryÂ ďź Perform comparative analysis of existing market solutions (references, speechâtoâ text functionalities, storage capacity, search functionalities, compliance level, integration and exploitation costsâŚ) ďź Study feasibility, costs and benefits of proposed solutions ďź Evaluate pros & cons ďź Identify competitorsâ best practices, encountered issues, and chosen solutionâs advantages ďź Synthesize advantages and drawbacks of each provider within the panel ďź Validate target solution II â Benchmark & Target Solution ďź Analyze the DFA regulation and how it can be integrated within your organization ďź Define pilot approach and prioritization if necessary, eligibility criteria and perimeter ďź Perform a detailed cartography of products / volumes / systems / platforms / communication tools along with specificities by entity ďź Identify existing recordkeeping solutions within other entities and their compliance level ďź Assess operational impacts of new processes ďź Perform gap analysis (requirements vs. current state) and identify actions to undertake ďź Draft expression of needs based on gap analysis and address organizational or operational points, if necessary I â As is Analysis & Diagnosis ďź Regulatory analysis and impact assessment ďź Cartography of impacted processes, tools and products ďź Mapping of existing recordkeeping solutions ďź Gap analysis and identification of needs ďź Elaborate implementation roadmap ďź Coordinate draft of functional specifications ďź Define role and responsibilities of new processes ďź Communicate to F/O the expected changes ďź Ensure followâup of the development planning and UATs ďź Monitor budget ďź Define and implement escalation procedures, if necessary ďź Communicate to Steering Committee progress of implementation III â Preparation of the Implementation ďź Roadmap ďź Communication plan ďź RACI ďź Reporting and monitoring tools ďź Escalation process 16/09 14/10 28/10 31/12 4
5.
I â Asâis Analysis and Diagnosis Approach Illustration: Regulation Analysis Deliverables ďź
Regulatory analysis and impact assessment ďź Cartography of impacted processes, tools and products ďź Mapping of existing recordkeeping solutions ďź Gap Analysis and identification of needs Nonâcompliance cartography and regulatory risk profile ďź Analyze the DFA regulation and how it can be specifically adapted to your environment (itemization) and validate eligibility criteria and scope ďź Define pilot approach and prioritization (structured vs. unstructured data, business lines, entity, communication tools â IM, mobile and landline phones, Mail, Fax, docs, etcâŚ) ďź Perform a detailed cartography of products / volumes / systems / platforms / communication tools (IM, voice, email, fax, documents etc.) along with specificities by entity ďź Identify of existing recordkeeping solutions for structured and unstructured data within the different entities and their compliance level with the DFA requirements ďź Assess operational impacts of new processes ďź Perform a gap analysis of requirements vs. current state and identify actions to be set up in terms of (if any): ⢠Technical developments and new solutions ⢠New information to be added to current flows ⢠New responsibilities to be defined ⢠Empowerment of F/O on process changesâŚ ďź Draft an expression of needs based on gap analysis and address organizational or operational points, if necessary 5
6.
II â Benchmark and Target Solution Approach ďź Perform a comparative analysis of market solutions in terms of: â˘
References ⢠Speechâtoâtext functionalities (quality, #of languages etc.) ⢠Storage capacity ⢠Search functionalities ⢠Compliance level with the DFA requirements ⢠Integration and exploitation costsâŚ ďź Study the feasibility, costs and benefits of proposed solutions including tactical solutions by improving the existing US solutions: ⢠Addâon of the NICE speechâtoâtext functionality with indexation capability ⢠Utilization of the GlobaNet Connector for integration of voice records to Enterprise Vault ⢠Deployment of the solution in other entities ďź Evaluate the different alternatives (pros & cons) ďź Identify best practices of competitors, their main issues, and their chosen solutionâs advantages ďź Validate the target solution Illustration: Benchmark Deliverables ďź Benchmark and comparative analysis ďź IT solutions assessment (pros & cons) ďź Best practices of the competitors ďź Target solution summary 0 1 2 3 4 Compliance Search Storage capacity Speech to text Costs References Solutions assessmentComparative analysis 6
7.
Description Core Capabilities Competitive Advantage âThe NICE Trading Floor Compliance solutions can provide the ability to reconstruct trade communications as they happen, tie them to swap transactions and enable a search through every type of related interaction including voice, instant messaging and email.â â
Ability to reconstruct all trade communications via the different channels as they happened over time â Correlate transaction and communications to make them searchable âby tradeâ â Automatically raise alerts for nonâcompliant communications â Discover current communications topics and trends â Provides compliance departments with insights and realâtime impact tools that will increase compliance protection against new regulations â Offers a voice capture platform that can process Turrets, PBX phones, Mobile devices via various connection method to suit customer needs â Metadata that can be captured and tagged may be counterparty, SWAP Document ID, SWAP Transaction ID, SWAP deal names, stocks / currency / commodities names assisted with the SWAP, etc. âThe Clearwell eDiscovery Platform, now from Symantec, is the leading electronic discovery software solution that enables enterprises, governments and law firms to manage legal, regulatory and investigative matters using a single applicationâ â Includes semantic analysis, native file format review for over 500 file types, and predictive coding â Platform that is easy to use and administer â Streamline the entire eDiscovery lifeâcycle by using a single application that spans legal hold and  collections through analysis, review, and production â Modular approach enables customizable eDiscovery solution. â Clearwell can be directly integrated with Enterprise Vault, which is the market leader in enterprise information archiving solutions. â Ease of use, simple deployment and timeâtoâvalue âBloomberg Vault offers an endâtoâend solution for realâtime policy management, enterprise archiving and eDiscovery to help address the needs of legal and compliance professionals.â â Fully hosted platform offers endâtoâend recordâkeeping to satisfy DoddâFrank requirements, including voice compliance. â Tags records by counterâparty and archives regulated trades. â Offers scalable archiving solutions. â Provides native integration to the proprietary Bloomberg tools. â Local Vault allows data to be managed globally according to a set of corporate policies, but stored locally in various countries. âGlobal Relay is the market leader in compliance messaging, archiving and message management.â â Captures incoming, internal and outgoing electronic messages in real time. â Webâbased archiving tool integrates with email and messaging systems to deliver superior search, retrieval and monitoring capabilities. â Unlimited cloud storage. â Search and retrieve capabilities available on PC and mobile devices. â Exceptional service â zero messages lost, 99.999% uptime, and 24âhour response to eâdiscovery and audit requests. âLeader company in interaction analytics, renowned for its ability to transform unstructured data to structured information through language analysisâ â Extracts key data from voice and text interactions. â Reconstructs  trades locating all interactions associated to it. â Identifies risk patterns and compliance rules endorsement. â Multiâlingual solution for voice and text. â No technical  infrastructure changes required. âAutonomy, an HP Company, is a global leader in software that processes human information, or unstructured data, including social media, email, video, audio, text and web pages, etc. â â Provides a single platform approach for managing all information, enterpriseâwide, in accordance with organizational & regulatory policy and business goals â Automatic content classification feature recognizes trade types, transactions, buyers and sellers. â Multiâlingual solution for voice and text. â Leader in cloud archiving. â Autonomy IDOL technology supports complex unstructured content analysis using probabilistic modeling and Bayesian inference. II â Benchmark and Target Solution Overview on the panel 7
8.
III â Preparation of the Implementation Approach ďź Elaborate implementation roadmap ďź
Coordinate draft of functional specifications ďź Define roles and responsibilities in the new process, if any ďź Communicate to Front Office the expected changes ďź Ensure followâup of the development planning and UATs ďź Monitor budget ďź Implement escalation procedures and escalate alerts, if needed ďź Communicate to the Steering Committee the progress of the implementation Illustration: Roadmap Deliverables ďź Roadmap ďź Communication plan ďź RACI ďź Reporting and monitoring tools ďź Escalation process Monitoring toolsImplementation  Plan 8
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