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  1. Nuxeo Platform
  2. NXP-27891

Record management - Prevent record trash

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    Details

    • Type: New Feature
    • Status: Resolved
    • Priority: Major
    • Resolution: Fixed
    • Affects Version/s: None
    • Fix Version/s: None
    • Component/s: BlobManager, Retention
    • Upgrade notes:
      Hide

      It's already handled at WebUI level.

      It could be done by using the Nuxeo API but it's not a big deal as the records are not deleted

      Show
      It's already handled at WebUI level. It could be done by using the Nuxeo API but it's not a big deal as the records are not deleted
    • Sprint:
      nxFG 11.1.10

      Description

      Context

      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.

       

      Prerequisite

      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)

      cf. https://github.com/awsdocs/amazon-s3-developer-guide/blob/master/doc_source/object-lock-overview.md

      cf. https://docs.aws.amazon.com/AmazonS3/latest/dev/object-lock.html

       

      User stories

      • As a broker dealer, I want to guarantee that a user can’t put to trash the record until the defined retention period has expired
      • As a broker dealer, I want to guarantee that an administrator can’t put to trash the record until the defined retention period has expired
      • As a broker dealer, I want to guarantee that a user can’t put to trash a record which is under legal hold
      • As a broker dealer, I want to guarantee that an administrator can’t put to trash a record which is under legal hold

       

      Description

      Even if it's not a deletion, put a record in trash prevent the users to search and view the document in their original place, which is not consistent and could be used as a way to hide some important documents. 

       

      Currently, a user can put in trash a record which is under retention or a legal hold 

      Improvements:

      • Prevent record trash on Nuxeo side for a document under retention and/or legal hold

       

      Acceptance criteria

      • As a user, I can NOT trash a document under retention,
      • As an administrator, I can NOT trash a document under retention,
      • As a user, I can trash a document once the retention has expired,
      • As an administrator, I can trash a document once the retention has expired,
      • As a user, I can NOT trash a document under legal hold,
      • As an administrator, I can NOT trash a document under legal hold,
      • As a user, I can trash a document once the legal hold has been removed,
      • As an administrator, I can trash a document once the legal hold has been removed,
      • As a developer using the Nuxeo REST API, I can NOT trash a document under retention,
      • As a developer using the Nuxeo REST API, I can trash a document once the retention has expired,
      • As a developer using the Nuxeo REST API, I can NOT trash a document under legal hold,
      • As a developer using the Nuxeo REST API, I can trash a document once the legal hold has been removed,

       

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              • Assignee:
                jaubenque Julien Aubenque
                Reporter:
                jaubenque Julien Aubenque
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                  Updated:
                  Resolved:

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