Legal Compliancy in respect to Electronic Records Management

Please find below further information about legal compliancy regulations and rules i.e. from SEC (Stock Exchange Commission) and the latest Swiss law requirements concerning record management:

Switzerland

• GeBüV, regulation for record management, article 221.431 (German, French, Italian)
• OR, regulation for record management, article 957-963 (German, French, Italian)
• EIDI-V, regulation electronic data and information transmission (German, French, Italian)
• DSG, Data Protection Act (German, French, Italian)
• DBG, tax rule, article 126, paragraph 3 (German, French, Italian)
• StHG, tax harmonization rule, article 42, paragraph 3 (German, French, Italian)
• StGB, criminal code, article 313 (German, French, Italian)
• ZertDV, regulation for digital certifications
• SR, article 784.103.1, technical and administration rules for electronic certification services Algorithms and Parameters for Secure Electronic Signatures

UK

• Guidelines for management, appraisal and preservation of electronic records.

US

• Sarbanes-Oxley Act (pdf)
• SEC rule 17a-3
• SEC rule 17a-4
• NASD rule 3010
• NASD rule 3110
• NASD Instant Messanger Information (pdf)
• U.S. Departement of Defence, record management organisation (pdf), directive 5015.2
• U.S. Environmental Protection Agency, Enterprice Technology Services Division, records management storage architecture report  from SRA International, Inc.