SEC-17a-4 (17 CFR § 240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers.) is a US regulatory related to the records preservation.
The main areas are related to secured storage, retention management, change and deletion prevention, legal hold, and audit trail.
For the record documents storage, we will use Amazon S3 capabilities with a bucket with the following parameters:
- Versioning turned on
- Compliance mode turned on
- No default retention in the bucket (or default retention as 0)
By using the retention module, it is already possible in Nuxeo Server to define a retention policy.
The target is very similar but we need to improve the capabilities and the user experience.
The goal is to allow an end user to configure the settings related to the retention in a user friendly way and directly accessible from WebUI.
To do so, we keep the current logic of the retention module where each retention policy is a document.