Automate Audit and Compliance, Centralize Entitlements, Enforce Information Barriers

Protection of confidential information is paramount to the success of financial institutions. Internal communication must be monitored to prevent improper communication and collaboration that results in compliance violations. Information barriers need to ensure unauthorized personnel do not access sensitive data.

With NextLabs, organizations gain another level of protection for their most critical assets – their data and their applications. Our solutions enhance security controls and protect information barriers in several ways:

  • Maintain internal boundaries across the organization by applying updated information about the user and the data to determine whether access should be granted. Data segregation can also be implemented to make sure it is not generally accessible.
  • Centralized policy management to enable fast response to policy changes and provide consistent enforcement across applications and systems.
  • Enforce fine-grained policies to ensure only authorized users can share specific information under certain conditions – internally and externally.

The NextLabs Financial Services solution provides the following benefits:

The solution has full audit and reporting capabilities on user access, data usage and unauthorized attempts. Activities are monitored, anomalies can be detected, and remediation workflow is integrated to ensure compliance with information barriers.

The Financial Services solution protects the access, handling, and disclosure of unstructured data to maintain the confidentiality of material non-public information and to prevent loss. Attribute-based policies are applied consistently across the organization. Real-time authorization enables proper use of data by leveraging the most recent user and data variables. The solution maintains information barriers or “Chinese Walls” between users and organizations by understanding when disclosure is appropriate for the business.

Email Correspondence

Email controls are enforced using the same attribute-based policies for documents and files and other sensitive information. This provides consistent enforcement and prevents employees or clients from accessing or sharing unauthorized emails and attachments. For example, firms can prevent analysts from emailing unpublished research documents to investment bankers or outside of the organization. They can also prevent email messages containing client information from being sent outside of the region.

Information Barriers

The solution prevents research teams from disclosing unpublished research to banking teams through email, IM, FTP, USB, or other company applications. Deal information is automatically saved to authorized repositories only. When an employee leaves the deal team, they no longer have access to any of the deal files and information is wiped from their computer.

Regulatory Compliance

NextLabs ensures that your organization is complying with regulatory requirements, including SOX, Basel III, and SEC. Data classifications are leveraged to apply the proper policies. Policies are automatically enforced based on very specific information about the transaction request: who, what, when, and where. These variables are considered before granting access.

Centralized monitoring and auditing gives the organization visibility into data access, usage and unusual patterns or suspicious behavior so it can prevent breaches from occurring.

Secure Information Sharing

Rights Management capabilities allow financial organizations to safely share documents and files internally or with clients. Documents are automatically classified and encrypted upon creation or upload. This protection remains persistent when the information is shared. Users can give specific permissions to the recipient, including print, edit or copy. Protected information can be easily accessed from any device or through a web browser.



This white paper explores a technique commonly used to mitigate wrongful disclosure: implementing electronic barriers that segregate data and users.



Financial services companies can now comply with industry regulations, control access and usage of data, and simplify audit by centrally managing information.



Learn about two different use cases and implementation strategies for enhancing data protection.