RSA Archer Implementation Guide

14 Pages·2017·1.25 MB·English

by  Jeff Carlson

<Partner Name>
<Partner Product>

RSA® ARCHER®
GRC Platform
Implementation Guide

Thomson Reuters Regulatory
Intelligence Feeds

Bobbi Ireton, RSA Engineering
Last Modified: May 22nd, 2018
Thomson Reuters
Regulatory Intelligence Feeds

Solution Summary
The integration with Thomson Reuters Regulatory Feeds (TRRI Feeds) into the Corporate Obligations
Management offering affords compliance teams to more easily manage the ever-growing volume of
alerts from the world’s financial regulators. TRRI feeds provide firms with automated regulatory
alerts from a database covering hundreds of global regulators. Multiple TRRI feeds can be created
and configured to a client’s specific regulatory requirements by content type, geography, keyword,
sector, organizations, and themes. Providing client-defined, customizable feeds in Thomson Reuters
provides an automated way for clients to quickly eliminate volumes of regulatory content that is not
relevant to their organization. The RSA Archer GRC Platform then allows customers to automatically
import their Thomson Reuter data directly into the RSA Archer Regulatory Change Management
solution.
RSA Archer Regulatory Change Management allows you to consolidate information from multiple
regulatory bodies, document the impact and sustain a repeatable auditable regulatory change
program. The solution provides a centralized repository of regulatory data, clear reporting of
activities related to regulatory issue remediation, and a consistent and repeatable regulatory change
management process. As a critical component of your governance, risk and compliance program,
RSA Archer Regulatory Change Management delivers the tools you need to analyze regulatory news,
automatically notify responsible personnel, and proactively address issues before they impact your
organization. Additionally, the RSA Archer GRC Platform produces real-time reports and user-
specific dashboards to view regulatory news, type and impact to your organization, and to monitor
the overall status of your regulatory change management program.
Once the integration is installed successfully, the Thomson Reuters data is fed into the Regulatory
Intelligence Items application and follows the current regulatory change review workflow in the
Corporate Obligations Management use case.
Partner Integration Overview
GRC Solution Type Corporate Obligations Management
Uses Out Of The Box Solution Yes (Regulatory Intelligence Items)
Uses Custom Application No
Requires On-Demand License No

Important: This integration is not supported in Archer Hosted
environments due to that fact that changes to the web.config file are
required.

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Thomson Reuters
Regulatory Intelligence Feeds

Partner Product Configuration
Before You Begin
This section provides instructions for configuring Thomson Reuters with the RSA Archer GRC
Platform. This document is not intended to suggest optimum installations or configurations.
It is assumed that the reader has both working knowledge of all products involved, and the ability to
perform the tasks outlined in this section. Administrators should have access to the product
documentation for all products in order to install the required components.
All Thomson Reuters components must be installed and working prior to the integration. Perform
the necessary tests to confirm that this is true before proceeding.
Important: The integration described in this guide is being provided
as a reference implementation for evaluation and testing purposes. It
may or may not meet the needs and use cases for your organization. If
additional customizations or enhancements are needed, it is
recommended that customers contact RSA Professional Services for
assistance.
Thomson Reuters Configuration
Thomson Reuters integrates with the RSA Archer framework via the Archer Data Feed service. TRRI
feed content is a one XML schema delivered via sFTP to a client specified location. Therefore for this
integration, the RSA Archer feeds are set to retrieve data files using the FTP protocol. Once a client
has gained appropriate access to the Thomson Reuters Regulator Intelligence OnePass system, TRRI
Feeds can be configured with an Advanced Search feature which is utilized to filter regulatory data
that is relevant to your organization. Our current implementation with Thomas Reuters technically
incorporates two schemas; Source XML and the Taxonomy file.

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Thomson Reuters
Regulatory Intelligence Feeds

In order to generate the desired Source XML and associated full Taxonomy file, perform the
following steps:
1. Log into your account and select RI Feeds.
2. In order for RSA Archer Data Feed Manager to process these two XML schemas correctly,
define two external delivery locations; one for the Taxonomy file and one for the Source
XML. (Note: In order to establish a valid Root directory, a client configured sFTP site with two
directories must first be defined.)

3. Create new feed(s) and select to add content from either Search or the Library.

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Thomson Reuters
Regulatory Intelligence Feeds

4. Search configuration details

5. For the RSA Archer integration, we are leveraging the flattened.xml file inside the XSLT
transform that is generated as part of the Thomson Reuters taxonomy outputs. For the
taxonomy files select your Taxonomy delivery location. We recommend clients select to
receive automatic updates as taxonomy files are updated.

6. Analyze process queue for delivery status

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Thomson Reuters
Regulatory Intelligence Feeds

RSA Archer GRC Configuration
RSA Archer Prerequisites
Important: This integration is not supported in Archer Hosted
environments due to that fact that changes to the web.config file are
required.
As noted above, in order to configure the RSA Archer Platform, you must first download the
following components from the RSA Archer Exchange:
File Name Description
Thomson_Reuters_Regulatory_Intelligence_ Contains updates to the Regulatory Intelligence Items
Integration_Install.zip application which support the Thomson Reuters integration
Data Feed retrieves the taxonomy file from the sFTP
TR_Taxonomy.dfx5
location
Data Feed retrieves and processes the Thomson Reuters
TRRI_Feed.dfx5 regulatory change or Source XML data from the sFTP
location
Important: Version 6.2 P3 or higher of the RSA Archer Platform is
required, as the application package will not import into prior versions
of RSA Archer.
Configuration Changes
The taxonomy classifications in RSA Archer are represented as hierarchical values lists, and are an
important attribute of the regulatory intelligence record. RSA Archer does not technically ingest the
taxonomy file but rather utilizes the file as a lookup to perform the essential buildout of the full
taxonomy structure from the Source XML file. Full hierarchy structure is required in order to
correctly set the values list inside RSA Archer applications. In order to ensure the Source XML is
always referencing the latest version of the taxonomy file, we reference the taxonomy file inside the
XSLT rather than copying in potentially stale data. Configuration settings must be altered to
accommodate the ability for XSLT to reference the taxonomy file located in the file repository.
1. Update all web config files with the following entry (do not replace existing entries):
<appSettings>
<add key="AllowXsltScript" value="true" />
</appSettings>
2. Update all job servers with the following entry in ArcherTech.JobFramework.Job.exe.config
file:
<appSettings>
<add key="AllowXsltScript" value="true" />
</appSettings>
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Thomson Reuters
Regulatory Intelligence Feeds

Installing the Package
After you have downloaded the integration files, you will need to import the package to update the
Archer application. To do so, perform the following steps:
1. Login into RSA Archer. Go to Administration -> Application Builder -> Install Packages.
2. Click Import and select the location of the package file
(Thomson_Reuters_Regulatory_Intelligence_Integration_Install.zip).
3. Click the Install button to install the package:

*Mapping tool can be used prior to install to identify updates occurring, such as new sub-
forms, an iView, new reports, new fields, new DDEs, and new layout objects.
Importing the Data Feed Files
Once the application install is complete, you will need to import and configure the TR_Taxonomy
Data Feed. This feed retrieves the taxonomy file from the sFTP location and saves it to the data feed
directory/alias in the file repository, unless a relative path has been defined in the ACP. File
repository location is defined in the Archer Control Panel.
To configure the feed, perform the following steps:
1. Select Manage Data Feeds from the Navigation Menu, by selecting Administration ->
Integration -> Manage Data Feeds.

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Thomson Reuters
Regulatory Intelligence Feeds

2. Click the Import link and browse to the data feed file you downloaded (TR_Taxonomy.dfx5).

3. Update the following settings on the General Information tab:
 Set the status to active
 Define the Target path where to place the file as it is retrieved off the sFTP site.

4. On the Transport tab update the following information:
 Update the Fully-qualified URL with a valid sFTP server location
 Enter a user name and password for the sFTP account
 If applicable, update the Proxy and Post-Processing

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Thomson Reuters
Regulatory Intelligence Feeds

5. Under Schedule tab, note the retrieval of a potential newly delivered taxonomy files from
the sFTP server occurs once a day.
6. Save the Data Feed.
Click the Run Detail link for additional information on the status of the feed or to troubleshoot any
feed errors.
Next, you will need to import and configure the TRRI_Feed. This feed retrieves and processes the
regulatory change files (*.zip) from the sFTP server location.
To configure the feed, perform the following steps:
1. Select Manage Data Feeds from the Navigation Menu, by selecting Administration ->
Integration -> Manage Data Feeds.

2. Click the Import link and browse to the data feed file you downloaded (TRRI_Feed.dfx5).

Update the following settings on the General Information tab:
 Set the status to active
 Define the data feed service user account
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Thomson Reuters
Regulatory Intelligence Feeds

3. On the Transport tab update the following information:
 Update the Fully-qualified URL with a valid sFTP server location
 Enter a user name and password for the sFTP account
 If applicable, update the Proxy
 Update the Post-Processing destination file. This ensure files delivered to the sFTP
from Thomson Reuters are not reprocessed on the next data feed run.

4. On the Navigation tab, admins must update the transform to point to their taxonomy share
location. The XSLT processor cannot use either the data in the transport tab or a relative
path defined in the ACP. The XSLT processor inherently writes to the same location as the
stylesheet located on the system.
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