DealHub meets SEC requirements in terms of data retention, data quality, time stamping (on a per line basis where possible), query analysis and reporting. It also provides the ability to archive to WORM (Write Once Read Many) media on a scheduled basis as defined by the bank.

DealHub is currently in use for SEC compliance in several customer locations as a sole application, and also as a facilitator of data transfer to 3rd party e-mail compliance products via a custom built SMTP interface.

DealHub now also has the ability to flag conversations and trades for intervention based on customer defined rules thanks to an ingenious combination of the DHView application, IMConnect dealing servers and a highly customisable rules engine.

We advise that to comply with rule 17-a4, all customers and prospects contact the SEC to inform them of their intention to use DealHub for SEC compliance purposes.