Casting Light on Communications

real-time enterprise
real-time enterprise governance

Casting Light on Communications:

Real-Time Enterprise Governance

Recent regulatory changes such as the introduction of the Sarbanes-Oxley Act, HIPPA, Basel II and new NASD regulations together with high profile court cases have highlighted the need for greater transparency within the enterprise and improved corporate accountability. A new age of enterprise governance has dawned, requiring transparency, accountability and best practice throughout the enterprise in order to meet increasingly stringent regulatory demands. To respond to these new challenges, the enterprise must take responsibility for the meaning contained within the ever increasing volumes of electronic communications. One of Aungates international banking customers estimates that their London office alone exchanges more than 3 billion electronic communications each day clearly demonstrating that the ability to understand electronic communications automatically is critical to achieving Real-Time Enterprise Governance.

he Aungate suite of software, built on Autonomys world famous technology, uniquely enables organizations to achieve Real-Time Enterprise Governance. By automatically understanding the meaning and significance of all enterprise communications (email, voice and Instant Messaging), Aungate helps achieve greater transparency and visibility within the enterprise. By casting light on all communications within the enterprise, Aungate makes communications transparent and empowers companies to protect themselves from undue risk. With the adoption of Aungate, enterprises achieve both Real-Time Compliance operations while pro-actively encouraging the development of Best Practice throughout the organization, enabling companies to respond positively and responsibly to todays challenges.

A Distinguished Heritage

he Autonomy Group has a long and distinguished history, particularly in the financial and intelligence sectors, working with influential and prestigious organizations, such as the US Securities and Exchange Commission, The New York Stock Exchange, The US Department of Homeland Security, The World Bank as well as numerous flagship financial institutions such as Deutsche Bank, Citigroup, ABN Amro, The Bank of England, Credit Lyonnais, HSBC, Credit Suisse First Boston, Nomura and Lloyds TSB. Since Autonomy gained its first banking customer over nine years ago, continued investment in research and development together with an impressive customer list has established Autonomy as the dominant player in this market. Today, Autonomys Aungate Suite is used by world leading regulators and stock exchanges and is setting the benchmark for Real-Time Enterprise Governance worldwide.

Aungate Company Overview

Aungate Technology
Aungate is the first technology to offer enterprises a comprehensive set of tools to encourage Real-Time Compliance, enable Pro-active Risk Management and carry out Post Event Analysis on any form of enterprise communication.
Aungate enables organizations to distil the essence of Enterprise Governance, shedding multiple rays of light which promote transparency and visibility within the enterprise, casting light over all electronic enterprise communications to ensure enterprises meet regulatory requirements and illuminate the shadows for sound post-event analysis in litigation environments.

Real-Time Monitoring & Alerting

In today s enterprise around 80% of data consists of unstructured digital information. The other 20% of this is structured content with printed documents of all kinds comprising only 0.003% of the information available. Since unstructured content makes up such a large percentage of data, monitoring and analyzing unstructured communications, such as email or IM, often reveal the strengths and weaknesses of policy management in the enterprise. Aungates technology intelligently monitors all telephone conversations, emails, Instant Messages and other information in real-time, enabling organizations to continuously analyze, evaluate and enforce policy management. Aungates strength lies in its unique ability to make the unknown visible and bring previously undetected information to light, helping the enterprise to identify early-warning signals to protect itself from risk.

Aungate offers the enterprise a flexible approach to policy enforcement and actively encourages best practice. Noncompliant communications can be blocked, copied or immediately routed to a supervisor. Alternatively, companies can choose to give employees a warning as soon as a noncompliant message has been created. These techniques effectively help to change employee attitudes and encourage best practice in the enterprise.

Dynamic E-Discovery and Enforcement

Real-Time Alerting

Aungate offers organizations hands-on assistance in enforcing internal and external policies and regulations throughout the enterprise. By automatically and conceptually understanding the content of all communications in the enterprise including email, Instant Messages, voice and rich media content Aungate detects and alerts organizations to non-compliant messages in real-time, allowing the enterprise to take immediate preventative action.

Real-Time Monitoring

Aungate automatically monitors all incoming and outgoing communications in the enterprise in real-time. The technology intelligently groups all related telephone conversations, emails and Instant Messages into clusters, enabling organizations to identify contact trends and hot topics immediately. Regardless of the language they appear in, Aungate detects non-compliant content within communications, even if it has been disguised through the use of slang or obscure phrasing. All messages are automatically archived for future reference.

Automated Policy Management

Effective Enterprise Governance comprises much more than basic conformance with regulatory requirements. In contrast to financial compliance objectives, the achievement of top-level compliance goals - as defined by SOX and other organizations in terms such as, setting a positive tone at the top, evaluating programs or encouraging employees - tends to be hard to measure. These people-oriented objectives rely on the interaction of personnel within the enterprise, which must be monitored and controlled in very different ways to structured financial operations. Many interactions between employees and external organizations today take place through electronic communications, such as email-conversations and Instant Messages (IM). Even letters sent by staff will be generated and stored in electronic format on a personal computer. Aungates products have already been implemented in numerous enterprise settings to effectively encourage and measure behavioral change processes. Aungate is the only technology that can monitor all unstructured information and communications in real-time, creating instant visibility of employee behavior as people exchange emails, create documents or communicate in different ways. The technology enables the enterprise for the first time to unlock the potential of unstructured information to act as an indicator for Best Practice achievements.

Electronic discovery is fast becoming the most talked about term in regulation enforcement and litigation environments, where electronic documents - such as E-mail or Instant Messages - are playing ever more important roles in legal investigations and lawsuits. Although E-Discovery has so far been particularly important in the US, the spread of increased regulatory pressure will witness these developments on a global scale. With E-Discovery requests already commonplace, enterprises need to be prepared to respond to these demands in a timely and cost effective manner. In nearly every legal case today, evidence is used that may be found on computers. Moreover, these cases are not limited to incidents in the IT world but include the complete range of civil, criminal and regulatory lawsuits. Evidence may be found in an e-mail or IM thread, or perhaps in a letter that was drafted on a company-owned PC several months before the investigation. A critical enterprise competence will be the ability to respond to discovery requests within a reasonable or even specified time; failure to respond can lead to court sanctions and, in the worst case, the appointment of a third party to perform the electronic discovery. However, by its very nature, electronic information is vastly more complex to handle than paper information and exists in myriad formats with multiple versions and copies saved throughout diverse enterprise systems. While some technologies exist to retrieve enterprise information, few can achieve this task across all systems and devices, especially when operating within a limited time frame. Electronic information is also more laden with risk than paper information because electronic information can contain metadata that is hidden from the user or author of the information. Computers of all types generate hidden data that is embedded in software files, and metadata is found in e-mail messages, word processing documents, spreadsheets and other computer files. E-mail metadata may contain information on respondents that were blind-copied on a particular message, from which computer a message was generated and who opened and viewed a message. Aungate powerfully addresses the challenge of information liability and EDiscovery requirements. In contrast to traditional manual legacy technologies, Aungates core combination of technologies, underpinned by the IDOL platform, understands the content and context of information through the identification of the underlying conceptual patterns of documents, instead of relying on the individual meanings of keywords used by manual legacy technologies. Manual techniques are unable to penetrate and understand the deluge of enterprise communications and information complexities efficiently and effectively in order to satisfy the demands of E-Discovery. Only Aungate is able to understand and analyze information and electronic communications in the enterprise, including hidden metadata, in real-time, allowing the enterprise to prepare efficiently for legal and regulatory investigations and meet set time scales.

Aungate Company Overview

The Aungate product suite is built on Autonomy s world famous technology; Autonomy customers utilizing this core technology include:
Regulators
New York Stock Exchange US Securities and Exchange Commission

Intelligence / Security
US Department of Homeland Security UK Ministry of Defence NASA US Department of Defence Olympic Games Security Committee US Air Force US Army Swiss Army Swedish Department of Defence US National Nuclear Security Administration Spanish Ministry of Defense Canadian Government UK Humberside Police French Ministry of Defence Greek Army Singapore Police Force South Yorkshire Police Italian Ministry of the Interior Singapore Civil Defence Force Military Security Department Singapore Ministry of Defence US National Security Bureau US Nuclear Regulatory Commission Italian Carabinieri Dubai Police Singapore Military Security Division UK, Her Majesty s Inspectorate of Constabularies UK Cambridge Constabulary

Financial
The Bank of England The World Bank Deutsche Bank ABN Amro Citigroup Lloyds TSB HSBC Dresdner Kleinwort Credit Suisse First Boston Zurich Financial Deutsche Bundesbank Grupo Santander Nomura Morgan Stanley Banco de Espaa Lombard Odier Darier Hentsch Banca di Credito Cooperativo Danske Bank Grupo Santander National Australia Bank Bank of Montreal Credit Lyonnais Federal Reserve Bank BNP Paribas Centradia Banco de Brazil Bank of the West Freningssparbanken Hyundai Oilbank Landeszentralbank Raymond James Union Bank of California Zurcher Kantonalbank Swedbank Swiss Private Bank Complinet Terra Firma Capital Partners

Legal
US Department of Justice UK Law Society LITGroup ImageNet White & Case LLP Pillsbury & Winthrop LLP British American Tobacco ACT Litigation DOAR Watson Wyatt Burges Salmon Borden Ladner Gervais Butterworth Lexis Nexis Boeing Daticon Zaid Ibrahim Management Services Hewitt Bacon & Woodrow Hengeler Mueller Weitzel Wirtz UK Long Acre Encinal Jackson Microjuris Drueker & Co. Entergy

What does compliance need? It needs first of all an information and research source so that it can carr y out the analysis. And, secondly, it needs to have the ability to monitor the business as it operates. And from that point of view its a matter of not only transparency but being seen to be transparent.
David Kemp Development & Communications Director WCS Legal & Compliance, ABN Amro

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