Your business generates sensitive, high value data every day and IT is focused on securing that data, keeping it continuously up, in addition to giving users fast analytic access. As data ages, it does not become any less sensitive (think credit cards, PII, trades) and it needs to be stored and managed with an even wider range of users accessing it. Internal finance and legal teams need immediate access to history and depending on the industry, external regulators demand fast query access or fines and penalties are imposed. Join this webcast with analyst Tony Baer, Ovum to learn about the criticality of storing and retaining high value data in the enterprise. Learn how solutions built from the ground-up take the headache away and help check the box for a variety of compliance regulations including Dodd Frank and SEC 17a-4, which dictates exactly how long the data should be stored, methods of access and immutability at both the logical and physical storage level.

1. RRain
1
Compliance & Governance are Facts of Life

2. Speakers
2
Tony Baer,
Principal Analyst, Ovum
Ben Weiss
Systems Engineer, RainStor

3. Topics
 Governance & Compliance issues
 Stringent Regulations Getting More Stringent
 Specific Data Requirements
 RainStor’s Compliance Solutions
 Real-world Case-studies
 Q&A
3

4. © 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

5. © 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

6. © Copyright Ovum. All rights reserved. Ovum is an Informa business.6
Stringent & Constantly Evolving
Basel III
Markets in Financial Instruments Directive (MiFID)
Dodd Frank
Packaged Retail Investment Products(PRIP)
Sarbanes/Oxley
SEPA - single euro payments area
Know Your Customer (KYC)
Insurance Mediation Directive (IMD)
Anti Money Laundering (AML)
Solvency II
Consumer Financial Protection Bureau(CFPB)
Federal Housing Finance Agency (FHFA)
Financial Services Authority/UK banking law
Financial Industry Regulatory Authority (FINRA) rules
Office of the Comptroller of the Currency (OCC)
European Securities and Markets Authority (ESMA) guidelines
International Financial Reporting Standards (IFRF)
U.S. Securities and Exchange Commission (SEC) rules
$50 Billion
(US Banks Alone)
20% Technology

7. © Copyright Ovum. All rights reserved. Ovum is an Informa business.7
Management
Business Group MD’s
IT Group Head
IT Team
Legal
Finance
Data Governance
Risk 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

8. © Copyright Ovum. All rights reserved. Ovum is an Informa business.8
Data: At The Heart of Governance & Compliance
Capture
(from 000’s
Sources)
Integrity EvolveSecureRetain Immutable DisposeWhich
Data?
Query

9. © Copyright Ovum. All rights reserved. Ovum is an Informa business.9
Many Technology Approaches Fall Short
Relational Database
Management Systems
(e.g. Oracle)
Data Warehouse
Analytical Systems
(e.g. Teradata, Netezza,
SybaseIQ)
Offline Tape Drives
(e.g. In-house or
Outsourced)
Legacy / MainFrame
Systems
(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

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

11. 11
Where Big Data & Archive Come Together
Network EDWApps Tape
Derive Business Value from Historical Data
and Meet Compliance Regulatory Demands.

12. News
12
Named Visionary
In
Structured Data Archive &
App Retirement
Magic Quadrant

13. RainStor® Product Milestones
13
2008 2009 2010 2011 2012 2013 2014
1st GA
RainStor 4
(Compliance)
Cloud
Enabled
RainStor 4.5
Machine
Data / Big Data
RainStor 5
Native HDFS
(SQL)
RainStor 5.5
Security
& Search
RainStor 6.0
Hadoop 2.0 Support
Complex Query

14. 14
Solutions
Analytical Archive | Compliance Archive
 SEC 17a-4
 Dodd Frank
WORM 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 App
DB/EDW
•HDFS
•NAS
•Cloud

15. Compliance Archive: End-to-end
15
QUERY/
ANALYZE
SQL
BI Tools; Hive,
MapReduce
SCALE / WORM Storage
COMPRESSLOAD/
VALIDATE
Billions
Records/Day
10-40X
(90%+)
AVAILABILITY
Replication
Source
DB/EDW
Move
RETAIN
/DISPOSE
Rules
Based
IN STORE QUERY GOVERN
SECURE - Enterprise-grade

16. 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

17. Document Query
XQUERY
Query - Pick the Best Tool for the Job
17
BI AnalyticsAd-Hoc Query
Interactive
SQL-92
SQL 2013
BI TOOLS
DASHBOARD
Hadoop Tools
Hadoop on DAS/ Scale-out NAS / Cloud
MAPREDUCE
PIG, HIVE

18. Governance & Compliance Data Retention
Governance:
 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.

19. 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

20. Apache Projects Vendor SpecificRainStor
Top of Stack
SQL 92
(with Oracle,
SQLServer, SybaseIQ
HDFS
MapReduce
Pig 3rd Party
Access /
Open
APIs
3rd Party
Access Tools
Integration &
Dashboards
Load/
Compress
Security
&
Encryption
20
RainStor Archive
Operates Natively on Hadoop 2.0 / WORM Storage
Connectors
Query Govern
Manage
Archive
App
Storage /
Platform
Proven Enterprise-grade Application for High Value, Sensitive Data
Ambari/
HCatalog
Secure
EMC Isilon

21. 21
Case Studies

22. SQL Query Access
Fast Response
(on par with DW)
Compression For Better Scale
Significantly Lower Cost
22
Highly Compressed
Fast Query
WORM
 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 WORM
Storage
Custom Applications
on Oracle DB /
IBM DW’s
 40+ Diverse
Applications
 Sensitive Data -
needs to be
Retained

23. 23
Retain Critical Analytics Data at Lowest Cost
Online
Transaction History
Fast Data Growth
 10,000 Users
 10 Years of History
Enterprise DW
400TB
40X Compressed
Fast Query
App 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 Scale
Lowest Cost!

24. 24
Be an Enterprise Hero
ARCHIVE & COMPLY
www.rainstor.com
QUESTIONS?