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Compliance teams within different organizations, spread across industry verticals, work towards achieving regulatory requirements through different regulatory compliance, control assurance and monitoring programs.  A large part of the compliance team’s responsibility is managing and responding to regulatory interactions such as information, investigation and inspection requests, as well as documenting meeting notes, outcomes, correspondence, and formal orders.


The complexity of responding to regulators and tracking those responses creates challenges for compliance teams due to the number of regulators requesting information, internal review and governance processes, linkages to regulatory change processes, and impacts to other compliance and risk areas.


The HCL Regulatory Interactions Management app-pack was introduced as part of RSA Exchange Release R10 to help organizations streamline the complexity of interactions with regulatory bodies. 


It enables organizations to efficiently maintain a repository of regulatory requests along with associated responses to ensure organizational readiness in meeting underlying compliance requirements through other linked assurance processes.


With the HCL Regulatory Interactions Management
app-pack, RSA Archer customers can:


  • Register regulatory interactions, identify internal respondents, and track responses to closure
  • Consolidate responses and track supporting evidence
  • Track approvals for external communication readiness
  • Trigger regulatory reviews, policy change requests, findings, associated actions and impacted risks and controls
  • Streamline interactions with regulatory bodies
  • Efficiently maintain a repository of requests and associated responses
  • Ensure organizational readiness in meeting underlying compliance requirements




HCL Technologies recently worked with a U.S.-based multinational finance and insurance corporation to assess their needs for responses to regulatory requests and an effective mechanism for collaboration with internal stakeholders. With a global presence in more than 75 countries and jurisdictions, the customer needed to address many complex regulatory challenges, including:


  • Managing interactions with a diverse set of regulators for various counties and jurisdictions
  • No central system and/or repository for these interactions and communications
  • Significant human effort required to manage and respond to interactions with regulators
  • Lack of understanding of the organizational impact of regulator interactions on policies, business processes, and product or services

HCL carried out a detailed analysis on the customer environment, including current processes for regulatory interactions and use of regulatory change management functionality within their RSA Archer implementation. Post review, HCL created a solution blueprint by proposing an on-demand application (ODA) built on top of the customer’s existing RSA Archer instance.
Based on this solution blueprint, HCL developed the HCL Regulatory Interactions Management app-pack to help streamline the process of managing the customer’s interactions with regulatory bodies.


HCL did a phased rollout of the app-pack to all business units and locations for the customer. In doing so, the HCL Regulatory Interactions Management app-pack enabled the customer to:


  • Streamline the process of managing interactions with regulatory bodies
  • Enable faster response to regulatory communications
  • Reduce efforts to manage regulatory interactions by 30%
  • Efficiently maintain a repository of requests and associated responses
  • Ensure organizational readiness for meeting underlying compliance requirements
  • Create a comprehensive repository of global interactions and communications to share knowledge with different business functions and locations


Interested in learning more about the HCL Regulatory Interactions Management app-pack? Register and join us for a Free Friday Tech Huddle on Friday, January 31, for a live demo. Free Friday Tech Huddles are only available to RSA Archer customers. If you are not yet a customer but you are interested in learning more, please contact your local representative or authorized reseller — or visit us at


About the author(s):

Deepak Arora
Senior Manager – HCL Technologies

Deepak is a seasoned GRC professional with industry experience of over ten years across different industry verticals including Financial Services, Telecommunications, Manufacturing and Retail. He is responsible for providing GRC technology advisory, blueprinting, and implementation services at HCL spanning across areas like Enterprise & Operational Risk, IT Compliance, Internal Audit, Business Continuity and Information Security and has been associated in driving various GRC Transformation programs for many esteemed organizations in the United States and Europe.


Gloria Higley

Product Manager - RSA 

Gloria is a Product Manager focused on providing useful and relevant product offerings for customers and partners with the RSA Exchange for RSA Archer. Offered online through RSA Link, the RSA Exchange provides access to pre-built App-Packs, RSA Ready-certified Integrations, and Tools & Utilities that complement and enhance out-of-the-box capabilities of RSA Archer use cases. 


Wow, 2019 sure was a great year for RSA Archer customers and the RSA Archer Suite.  It’s mind-blowing to realize how many incredible improvements and new offerings the RSA Archer Engineering and Product Management teams delivered in just 12 months. As we dive into 2020, I thought a look back would be a great way to reflect on everything that we accomplished in 2019 and set the stage for great things to come in 2020.


2019 was a busy year for RSA Archer teams, delivering several releases throughout the year, including new and enhanced use cases, improvements to the performance, scalability, and usability of the RSA Archer Platform, and of course, the new RSA Archer SaaS offering. We also continued to develop our solution ecosystem with the continued addition of RSA Exchange offerings each quarter.


In March, we introduced the new RSA Archer Third Party Security Risk Monitoring use case, which provides organizations visibility, insight, and actionable intelligence into their third and fourth-party IT risk environments.  This new SaaS-based use case discovers and analyzes each third party’s IT footprint using artificial intelligence to automatically measure the value of each asset. This enables analysts to quickly identify each vendor’s specific systems that pose the greatest risk, based on vulnerability severity and asset criticality. Third Party Security Risk Monitoring is available for SaaS, hosted, and on-premise implementations of RSA Archer.


In May, we launched RSA Archer Release 6.6.  This release marked the kickoff of our efforts to make marked improvements to the RSA Archer user experience. These improvements focused on reporting, workflow, and new search capabilities. We also introduced RSA Archer Enterprise Catalog, a new package that aggregates frequently-updated shared applications across multiple use cases to simplify the update process. In addition, updates to the RSA Archer Key Indicator Management use case leverage the new Advanced Workflow rules-based enrollment capability. This allows metrics to be automatically enrolled into a workflow for review when they reach a particular date or threshold.


In September, we introduced the new RSA Archer Regulatory Content Analysis use case. This SaaS-based use case enables compliance analysts to more quickly and efficiently focus on specific areas of regulations that impact the business. It incorporates patent-pending technology and utilizes natural language processing and machine learning to analyze how an organization maps existing regulations to controls. RSA Archer Regulatory Content Analysis is available for SaaS, hosted, and on-premise implementations of RSA Archer.


In October, we launched RSA Archer Release 6.7, delivering even more enhancements to modernize and simplify the user experience with RSA Archer Suite, in support of the growing importance of a cohesive view of risk and compliance at all levels of an organization. This release is the next step in the user experience evolution, providing cleaner, easier-to-use dashboards, and more direct, intuitive navigation. Release 6.7 provides a number of updates for reporting, including enhanced charting for added graphical context, and administration updates for improved functionality. The release also includes updates for RSA Archer Public Sector Solutions, RSA Archer Enterprise & Operational Risk Management, RSA Archer IT & Security Risk Management, and RSA Archer Third Party Governance use cases.

In November, we were very excited to announce the availability of our new RSA Archer SaaS offering. RSA Archer customers now have the option to leverage the flexibility, availability, and scalability of the cloud, coupled with the depth and breadth of the RSA Archer Suite, to comprehensively and proactively manage risk. Our SaaS offering enables us to support the changing needs of our customers with greater choice for their implementation of RSA Archer, while continuing to drive innovation in the market.


On a quarterly basis throughout 2019, we introduced new and updated offerings on the RSA Exchange for RSA Archer, including 11 App-Packs, 5 Tools & Utilities, 30 Integrations, and over 23 new and updated content packages. RSA Exchange continues to add new offerings that provide best practices and complement out-of-the-box RSA Archer capabilities.


On the heels of everything we delivered in 2019, 2020 is set to be another exciting year for RSA Archer.


Be sure to mark your calendars for RSA Conference 2020 Feb. 24-28 in San Francisco, California and RSA Charge 2020, Oct. 5-8 in sunny Orlando, Florida. Both of these events are great opportunities to learn more about exciting new RSA Archer solutions and network with your peers and industry experts.


So here’s to a fantastic 2019 and looking forward to all the great things to come in 2020!

In Deloitte’s 2019 Extended Enterprise Risk Management global survey, 83% of respondents reported experiencing a third-party incident within the past three years, with 11% reporting they had experienced a third-party incident that severely impacted their customer service, financial position, reputation, or regulatory compliance.


In the 2019 Gartner Magic Quadrant for IT Vendor Risk Management Tools report, Gartner states: “Through 2022, more than 5% of publicly traded companies will see a decrease in market capitalization as a result of mismanaged or unmanaged vendor risks.”


It is with these sobering statistics in mind that we are proud to announce that RSA has again been positioned as a Leader in the 2019 Gartner Magic Quadrant for IT Vendor Risk Management Tools. Published on Nov. 25, the report evaluates and positions  ITVRM software vendors on their ability to execute and their completeness of vision.


2019 Gartner Magic Quadrant for IT Vendor Risk Managemnt

We’d like to sincerely thank our customers who participate in analyst evaluations, including Gartner's ITVRM assessment this year.  We know you are very busy, but your feedback is invaluable in helping to inform others of your experience with the RSA Archer Suite.


Interested in learning more about RSA Archer Third Party Governance? Please contact RSA and download the MQ report for IT Vendor Risk Management Tools.


This graphic was published by Gartner, Inc. as part of a larger research document and should be evaluated in the context of the entire document. The Gartner document is available upon request from Dell (RSA).  Gartner does not endorse any vendor, product or service depicted in its research publications, and does not advise technology users to select only those vendors with the highest ratings or other designation. Gartner research publications consist of the opinions of Gartner's research organization and should not be construed as statements of fact. Gartner disclaims all warranties, expressed or implied, with respect to this research, including any warranties of merchantability or fitness for a particular purpose.


Gartner Magic Quadrant for IT Vendor Risk Management Tools, 25 November 2019, Christopher Ambrose, Joanne Spencer


*Appeared as EMC (RSA) in Magic Quadrant for IT Vendor Risk Management, 2014, 2016.  Appeared as RSA in Magic Quadrant for IT Vendor Risk Management, 2017.


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