Analyst Content Assessment of Hitachi Content Platform (HCP) For Dodd-Frank Compliance
This report will assess Hitachi Content Platform ("HCP") for compliance with Dodd-Frank and related SEC, NASD, and CFTC regulations. The goal is to certify that HCP is in compliance with the various regulatory guidelines. The governing rules for Dodd-Frank, NASD, and CFTC with regard to records and record retention are contained within SEC Rule 17a-3 and SEC Rule 17a-4. Rule 17a-3 pertains to which records and governance of the records needed to be retained and Rule 17a-4 deals with the methods and requirements of storage by which the records will be maintained.