Compliance Officers

Often, compliance officers have to locate specific data in order to comply with legal discovery processes or business regulations. Civil litigation requires that data that is relevant to a case be provided for legal discovery. This can be a very time-consuming task for compliance officers. The data that they need to provide to courts or attorneys might be spread across many different computers and storage devices throughout the organization, and can be comprised of different data types. Regulatory compliance is another mission-critical business need that is addressed by the Compliance Search capability. In certain geographic regions, publicly traded corporations must comply with business regulations such as the Sarbanes-Oxley Act, and other sector-based regulations governing Financial Services, Healthcare, and Pharmaceutical industries.

The Compliance Search capability is designed to address these business needs and give compliance officers the tools to search across computers, storage devices, and applications to locate the information that is needed to satisfy regulatory compliance requirements quickly and easily.

Key Features

Identification of the Data

Use Compliance Search to:

  • Perform searches of data.
  • Review results before you begin to add data to Export Set, Review Set, and Legal Hold.
  • Determine the location of potentially relevant information, and categorize it by factors, such as data type, size, location, and more.
  • Determine the custodian of data, and map the data to computers, shares, and data repositories.

Collection and Preservation of the Data

Compliance Search can:

  • Backup and content index the data from workstations, laptops, network shares, email servers, databases, and structured data repositories, such as SharePoint and Documentum.
  • Filter data during backup and content indexing so that only the relevant information is collected.
  • Collect and process data without disrupting the original files.
  • Handle large data sets.
  • Index both the metadata and content of documents.

Search and Review

Compliance officers can run discovery searches on metadata and content to collect relevant documents and emails with the compliance search interface.

  • Compliance officers have full access to all computers and supported applications for searching, regardless of ownership/access attributes for the data.
  • Emails searches can be performed on To, From, CC, BCC, subject, size, received time, and more.
  • Searches can be filtered by custodian, data location, document metadata, and type.
  • Search highlights the keywords in files, emails, and attachments.


The relevant documents can be exported as compressed files and download at any time.

  • Files can be exported to CAB.
  • Emails can be exported to PST/CAB.
  • Lotus Notes can be exported to NSF.

Legal Hold

The Legal Hold feature uses a policy based approach to search and restore legal information from backups, archives, or any electronically found data (such as emails and files), and then retain a subset of the data for long term retention. It can also be used to search legal data from multiple retention policies, and then archive them to a Legal Hold with a specific retention policy.

Last modified: 9/19/2019 3:07:18 PM