RRain

1

Compliance & Governance are Facts of Life. Select the Right Solution to Check the Box.

Speakers

2

Tony Baer,Principal Analyst, Ovum

Ben WeissSystems Engineer, RainStor

Topics

Governance & Compliance issues Stringent Regulations Getting More Stringent Specific Data Requirements RainStor’s Compliance Solutions Real-world Case-studies Q&A

3

© Copyright Ovum. All rights reserved. Ovum is an Informa business.4

Data governance encompasses the people, processes, and technology required to create a consistent and proper handling of an

organization's data across the business enterprise.

Purpose:• Improving data security• Designating accountability for information quality• Avoid Duplicates / redundant copies• Minimizing or eliminating re-work• Establish process performance baselines to enable improvements

Data Governance & Compliance

© Copyright Ovum. All rights reserved. Ovum is an Informa business.5

Varies by:

Industry Sector

By Geography

By Data/Information Type

By Usage

Timeframe

External Industry Compliance Regulations

(SEC, Sarbanes Oxley, US Patriot Act, HIPPA, Dodd Frank Reform, EU Data Retention, Japan Comm’s Intercept Act…)

Compliance

© Copyright Ovum. All rights reserved. Ovum is an Informa business.6

Stringent & Constantly Evolving

Basel IIIMarkets in Financial Instruments Directive (MiFID)Dodd FrankPackaged Retail Investment Products(PRIP)Sarbanes/OxleySEPA - single euro payments areaKnow Your Customer (KYC)Insurance Mediation Directive (IMD)Anti Money Laundering (AML)Solvency IIConsumer Financial Protection Bureau(CFPB) Federal Housing Finance Agency (FHFA) Financial Services Authority/UK banking lawFinancial Industry Regulatory Authority (FINRA) rulesOffice of the Comptroller of the Currency (OCC)European Securities and Markets Authority (ESMA) guidelinesInternational Financial Reporting Standards (IFRF)U.S. Securities and Exchange Commission (SEC) rules

$50 Billion(US Banks Alone)20% Technology

© Copyright Ovum. All rights reserved. Ovum is an Informa business.7

ManagementBusiness Group MD’sIT Group HeadIT TeamLegal FinanceData GovernanceRisk Officers

US: Securities & Exchange Commission (SEC)Commodity Futures Trading Commission (CFTC) [157]Federal Reserve System ("Fed")Federal Deposit Insurance Corporation (FDIC)Financial Industry Regulatory Authority (FINRA) [158]Office of the Comptroller of the Currency (OCC)National Credit Union Administration (NCUA)Consumer Financial Protection Bureau (CFPB)

UK:Financial Conduct Authority (FCA) - [154])Prudential Regulation Authority (PRA) - [155])Panel on Takeovers and Mergers (PANEL) - [156])

Multiple Stakeholders & External Regulators – Creating Compliance Silos

© Copyright Ovum. All rights reserved. Ovum is an Informa business.8

Data: At The Heart of Governance & Compliance

Capture(from 000’sSources)

Integrity EvolveSecureRetain Immutable DisposeWhichData?

Query

© Copyright Ovum. All rights reserved. Ovum is an Informa business.9

Many Technology Approaches Fall Short

Relational DatabaseManagement Systems

(e.g. Oracle)

Data WarehouseAnalytical Systems

(e.g. Teradata, Netezza,SybaseIQ)

Offline Tape Drives

(e.g. In-house orOutsourced)

Legacy / MainFrameSystems

(Legacy file formats)

Not Scalable. No Compliance (Retention / Disposition)

Costly to Scale.No Compliance.

Cannot Query.Very Slow. Error-prone.

Costly.Difficult to Integrate. Non-

standard

© Copyright Ovum. All rights reserved. Ovum is an Informa business.10 10

Compliance Archive Solutions

11

Where Big Data & Archive Come Together

Network EDWApps Tape

Derive Business Value from Historical Data and Meet Compliance Regulatory Demands.

News

12

Named VisionaryIn Structured Data Archive &App RetirementMagic Quadrant

RainStor® Product Milestones

13

2008 2009 2010 2011 2012 2013 2014

1st GA

RainStor 4(Compliance)

CloudEnabled

RainStor 4.5Machine

Data / Big Data

RainStor 5Native HDFS

(SQL)

RainStor 5.5Security & Search

RainStor 6.0Hadoop 2.0 Support

Complex Query

14

SolutionsAnalytical Archive | Compliance Archive

SEC 17a-4 Dodd FrankWORM StorageSource App

DB/EDW

Active Archive - Meets Needs of Business & Compliance Stakeholders

Seamless offload from Enterprise Data Warehouse (re-instate from Tape) Security built-in (LDAP / Kerberos/ Encryption / Masking) Governs data retention/immutable and maintains full audit trail Fast Query - SQL, Interactive. Supports Hadoop Analytics (if HDFS).

Source AppDB/EDW

• HDFS• NAS• Cloud

Compliance Archive: End-to-end

15

QUERY/ANALYZE

SQLBI Tools; Hive, MapReduce

SCALE / WORM Storage

COMPRESSLOAD/VALIDATE

BillionsRecords/Day

10-40X(90%+)

AVAILABILITYReplication

SourceDB/EDW

MoveRETAIN /DISPOSE

RulesBased

IN STORE QUERY GOVERN

SECURE - Enterprise-grade

16

Security Features Built-in

Data Encryption Data Masking ViewsPrivacy

Kerberos Authentication Authorization LDAP / Active Directory Linux PAM Support

Trust

Tamper-proofing Audit Trail Record-level Delete Data Disposition

Integrity

Document Query

XQUERY

Query - Pick the Best Tool for the Job

17

BI AnalyticsAd-Hoc Query

InteractiveSQL-92

SQL 2013

BI TOOLSDASHBOARD

Hadoop Tools

Hadoop on DAS/ Scale-out NAS / Cloud

MAPREDUCEPIG, HIVE

Governance & Compliance Data RetentionGovernance: Tamper-proofing Audit Trail Record-level Delete / Data Disposition Support Compliance regulations (e.g.

Lawful intercept, HIPPA) Protects valuable data on Hadoop /

DAS or NAS.

Compliance:

18

“Retain loaded records for 6 months from this time forward.”

EMC WORM Storage / Meets SEC 17a-4

“Retain loaded records for 6 months after their transaction date value.”

SELECT dateadd(month, 6,

transaction_ts) rs_retention_date FROM

transactions; Rules-based Retention upon load

Ties retention period to the data values.

SEC 17a-4(f) Compliance Archive Requirements

19

Records stored in non-erasable media (WORM)

Recording process must be verifiable

Fully Accessible to Authorities & Backed-up

Records should be Recognizable & Identifiable

Downloadable to any acceptable medium

Apache Projects Vendor SpecificRainStor

Top of StackSQL 92

(with Oracle, SQLServer, SybaseIQ

HDFS

MapReduce

Pig 3rd PartyAccess /

Open APIs

3rd PartyAccess Tools

Integration & Dashboards

Load/Compress

Security &

Encryption

20

RainStor ArchiveOperates Natively on Hadoop 2.0 / WORM Storage

Connectors

Query Govern

Manage

ArchiveApp

Storage / Platform

Proven Enterprise-grade Application for High Value, Sensitive Data

Ambari/HCatalog

Secure

EMC Isilon

21

Case Studies

SQL Query Access Fast Response(on par with DW)

Compression For Better ScaleSignificantly Lower Cost

22

Highly Compressed Fast QueryWORM

SEC 17a-4 Compliant Avoid Fines & Penalties

Runs on EMC WORM Storage

Wall Street Investment Bank Case-study

~ 2TB per Day Loaded Into Archive from 40+ Apps

• Fast Data Load

• Built “self-service” GUI-based Monitoring & Management Tools to facilitate Archive

EMC WORMStorage

Custom Applicationson Oracle DB / IBM DW’s

40+ Diverse Applications

Sensitive Data - needs to be Retained

23

Retain Critical Analytics Data at Lowest Cost

Online Transaction HistoryFast Data Growth

10,000 Users

10 Years of History

Enterprise DW

400TB

40X Compressed Fast QueryApp running on Hadoop

Data Retained Online

Fully Query-able

Hadoop in Production!

Hadoop Deployed~ 60 TB’s of History Offloaded

• Set-up Hadoop Cluster (Cloudera) on Dell servers

• Poll Business Functions for Key Archive Requirements

• (Sales, Marketing, Finance, Legal, Customer Service)

Dell Servers R720s

Capacity Buy-back Policy-driven Archive Fast Query, Predictable ScaleLowest Cost!

24

Be an Enterprise HeroARCHIVE & COMPLY

www.rainstor.com

QUESTIONS?