Technology Overview

Compliance11's Supervisory Suite is delivered using industry leading Software-as-a-Service (SaaS) technology which can be implemented in days with little to no IT involvement. No hardware or software installation is required and updates are applied automatically. Many financial institutions have concerns about keeping employee and client data on a hosted service. The reality is that a hosted service can provide a solution that is actually more robust and more secure for a fraction of the cost.

Hosting
Compliance11's production servers are hosted in a SAS70 Type II compliant environment by Rackspace, the third largest managed hosting provider in the United States. Compliance11 has purchased the Intensive service level with Rackspace. For more details, visit the links below.

Physical Security
Rackspace facilities are unmarked to help maintain a low profile. Biometric scanning is used for controlled data center access. There is security camera monitoring at all data center locations. 24/7 onsite staff provides additional protection against unauthorized entry. Rackspace physical security is audited by an independent firm.

Application Architecture
Compliance11's application is built using J2EE and Oracle database, the de facto industry standard for highly scalable, enterprise applications. Compliance11 uses the BEA application server, one of the industry's premier application servers for secure fault tolerant applications.

Fault Tolerance
Compliance11's application tier has load balanced, redundant servers. If an application server fails, users are able to login to the other server immediately with no data loss. Compliance11's database tier has a redundant server and uses shared disk. If the database server fails, users are able to login again within minutes with no data loss. All production servers have dual power supplies and RAID disk drives.

Disaster Recovery
In the event of a major disaster at the primary Rackspace hosting site, users will be able to login to another server hosted at a secondary Rackspace site within hours. No more than two hours of data will be lost.

Backup
All servers are backed up daily. Database logs are backed up every two hours.

Encryption
All web traffic between the browser and the servers is encrypted using Hypertext Transfer Protocol Secure Socket Layer (HTTPS) 128-bit encryption. All inbound data files including brokerage feeds and customer data feeds are encrypted using PGP encryption.

Penetration Testing
Compliance11 has periodic penetration tests performed by Trustwave, a leader in internet security.