Privacy%20and%20Access%20Control%20Issues%20in%20Financial%20Enterprise%20Content%20Management%20with%20a%20Web%20Services%20Integration%20Environment - PowerPoint PPT Presentation

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Privacy%20and%20Access%20Control%20Issues%20in%20Financial%20Enterprise%20Content%20Management%20with%20a%20Web%20Services%20Integration%20Environment

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Title: A Logical Framework for Exception Handling in ADOME Workflow Management System Author: Dickson Last modified by: test Created Date: 6/2/2000 4:06:17 PM – PowerPoint PPT presentation

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Title: Privacy%20and%20Access%20Control%20Issues%20in%20Financial%20Enterprise%20Content%20Management%20with%20a%20Web%20Services%20Integration%20Environment


1
Privacy and Access Control Issues in Financial
Enterprise Content Management with a Web Services
Integration Environment
Dickson K. W. CHIU Senior Member, IEEE kwchiu_at_acm.org, dicksonchiu_at_ieee.org Patrick C. K. HUNG Faculty of Business and Information Technology, University of Ontario Institute of Technology Patrick.Hung_at_uoit.ca
Kevin H.S. Kwok Dept. of Computer Science
Engineering, Chinese University of Hong
Kong khskwok_at_yahoo.com
2
Introduction
  • Financial enterprise content refers to the pieces
    of information (in particular its Web sites),
    e.g., financial research, market commentary,
    calendar events, trading ideas, bond offerings,
    etc.
  • Published content
  • Contributes highly to customer relationship
    management (CRM)
  • Provides valuable advices for decision making of
    client investors,
  • Has a high impact on the image and
    professionalism of the enterprise
  • Is also used for internal decision making
  • A good FECMS can produce high return on
    investment and is a valuable asset of the
    enterprise

3
FECMS Overview
  • 4Ts tagging, taxonomy, templating, tiering

4
Management Objects and Concerns
  • 4 Goals - Management, Cost, Legal issues, and
    Value
  • Knowledge and organizational memory can be
    captured in enterprise content (M)
  • Replace semi-manual systems and integrated
    heterogeneous systems (MCV)
  • Replace current cost ineffective and bad
    time-to-market hardcopy publishing and delivery
    of content (CV)
  • Standardized enterprise-wide policies and
    business processes provide a mechanism for
    content creation and management functions (M)
  • Metadata (taxonomy) about the content (MV)
  • Integration with third-party FECMS or information
    sources to form a service grid (MV)
  • Help ensure compliance with relevant laws and
    regulations, e.g., approval policy and procedures
    (L)
  • Privacy and access control (MLV)
  • CRM (CV)

5
Challenges for FECMS
  • Global system integration
  • Content flow management
  • Privacy and Access Control Issues

6
Integration and Management
  • Global system integration
  • Content flow management
  • Heterogeneous existing systems and interfaces
  • Both within and among enterprises
  • Global system with multiple sites
  • A mechanism for analysts all over the world to
    contribute commentary and publish them
  • Intrinsic value of a commentary depreciates
    exponentially (therefore should be published in
    minutes
  • Contradicting requirements - editors and auditors
    have to check content publication against
    possibility of violation of laws and regulations,
    which vary across countries and states

7
Privacy and Access Control Issues
  • Information privacy - an individuals right to
    determine how, when, and to what extent
    information about the self will be released to
    another person or to an organization
  • Concerned with the confidentiality of the
    sensitive information such as
  • personal identifiable information (PII)
  • health data
  • Privacy policies
  • describe an organizations data practices
  • what information they collect from individuals
    (subjects)
  • for what purpose the information (objects) will
    be used
  • whether the organization provides access to the
    information
  • who are the recipients of any result generated
    from the information
  • how long the information will be retained
  • who will be informed in the circumstances of
    dispute

8
Privacy and Access Control Issues (cont)
  • Access Control
  • limiting access to information / resources only
    to authorized users, programs, processes, or
    other systems
  • on a need-to basis
  • according to the authentication of their
    identities and the associated privileges
    authorization
  • should be extended with an enterprise wide
    privacy policy for managing and enforcing of
    individual privacy preferences
  • U.S. Privacy Act of 1974

9
Privacy and Access Control Issues (cont)
  • Threats
  • Unauthorized disclosure, modification and
    destruction of information
  • Unauthorized utilization and misuse of resources
  • Interruption, unknown status and repudiation in
    workflow execution content access
  • Denial of service from stakeholders or resources
  • Corruption of stakeholders
  • Come from insiders and from the outsiders in each
    organization
  • Consequences
  • cause disasters to internal management decision
  • affect valuable external client investors
  • lead to severe damage of enterprise reputation
  • even legal responsibilities

10
Technologies Employed in Integration
  • Web Services and XML standards for integration
  • Simple Object Access Protocol (SOAP)
  • Universal Description, Discovery and Integration
    (UDDI)
  • Web Services Description Language (WSDL)
  • Advantages
  • standard technologies
  • wrapping of existing systems / sub-systems
  • both inter- and intra-enterprise integration
  • support both human and programmatic interfaces
  • firewall friendly open platform
  • synchronous (such as WS-Transaction) and
    asynchronous messaging
  • faster time to production
  • convergence of disparate business functionalities
  • significant reduction in total cost of
    development
  • easy to deploy business applications for trading
    partners

11
Technologies Employed in Privacy and Access
Control
  • Enterprise Privacy Authorization Language (EPAL)
  • formalize privacy authorizations for actual
    enforcement
  • intra- or inter- enterprise
  • abstract data models and user-authentication from
    all deployment details
  • an interoperability language for defining
    enterprise privacy policies on data handling
    practices
  • fine-grained positive and negative authorization
    rights

12
FECMS Architecture and Security
13
Enterprise Content Conceptual Model
14
Privacy and Access Control Requirements
Elicitation
  • Identify the information entities to be protected
  • Identify the entitlement and protection that
    should be imposed on the stakeholders
  • By tracing the information flow of the
    information entities to be protected, identify
    the processes during which such protection should
    be enforced and hence the detailed protection
    policies as well as the required enhancement to
    existing system components
  • Identify any modification of the existing content
    flow or content management process required

15
Key information entities to be protected
  • The major concern of an FECMS is naturally the
    vast amount of content
  • Almost equally important are the personal
    information PII and profiles of content users (in
    particular customers)
  • Users activity records should also be protected
    because of privacy requirements. This is often
    inadequately handled in existing systems
  • Content and user taxonomies though mostly visible
    to the content management software systems should
    be maintained only by specialists.

16
Privacy and access control strategies
  • Reception of contents into an FECMS should be
    adequately monitored and controlled
  • Sophisticated content access control should be
    exercised over content creators and supervisors,
    according to content flow and process
    requirements
  • Based on the need-to-know principle
  • role-based access control technology by matching
    users roles and authorization with the
    classification of content items.
  • Inference of tags should be supported in matching
    for ease of flexibility specification (e.g.,
    subscription to Asia gt China and HK, Stock gt
    warrants)
  • PII Access control should be strictly restricted
    to the user himself and to user managers
  • taxonomies protection - tight control for only
    specialists access

17
Content Reception Engine
  • Publish and Subscribe mechanism
  • Separation of Active Rule / Analytical Module
  • Event-Condition-Action (ECA) Rules
  • Re-classify received content
  • Forward a selection of received / generated
    content to relevant analysts and Content Creators
  • Forward selected content for immediate publishing

18
Content Reception Engine Protection
  • Strict verification and authorization before
    accepting new Content Providers
  • Security tokens (for sessions) - Security
    Assertions Markup Language (SAML)
  • Web Services Security (WS-Security) - message
    integrity, confidentiality, and single message
    authentication
  • condition Designated_Specialists FALSEgt
  • Provides authorized to provide only certain types
    of content (based on tags)
  • Sources maliciously flooding the system may even
    be totally rejected
  • Quarantine contents from problematic providers
    specialists examination only
  • Content items of sensitive topics (say, politics
    and major market changes) are forwarded to and
    only accessible to designated specialists for
    approval

19
EPAL example
  • ltALLOW
  • user-category Content_Provider
  • data-category Any_Content
  • purpose Distribution
  • operation publish
  • condition Authorization_Clearance TRUEgt
  • ltDENY
  • user-category Content_Users
  • data-category Politics_Content
  • purpose Any
  • operation access
  • condition Designated_Specialists FALSEgt

20
Content Editorial Engine
  • Typical Content Flow
  • A Content Author creates a piece of content,
    determines its tier and tags
  • Content sent to Content Editor for revision.
  • Approved by Content Approver.
  • If Content Editor suspects violation of laws /
    regulations, content is sent to a Content
    Auditor. Before the Content Auditors approval,
    customers from those countries cannot receive or
    read it.

21
Content Editorial Engine Protection
  • Need-to-know principle
  • Capability matching of personnel to content tags
  • Content in progress may be incomplete and error
    prone - only accessible to the author before
    approval
  • Content Creator cannot update content items
    submitted for editing, unless editors request for
    their amendments because the content editor is
    possibly updating it
  • Content auditors can change or remove all content
    items classify under their capabilities plus
    regional restrictions
  • Supervisor override
  • read access all content items under their
    subordinates work unless otherwise classified
  • update access should require managerial approval
  • manager of a department can access all content
    items under work for that department
  • Update access rights of reassign work of a
    rerouted content item

22
Content Publishing Engine
  • Content is sent to the user via
  • email, SMS, and/or ICQ as specified by
    interactive users at subscription time.
  • Web Services to the access point as specified by
    programmatic (usually institutional) users.
  • Indirectly through external Content Distributors

23
Content Publishing Engine Protection
  • RBAC
  • matching users roles and authorization with the
    classification of content items
  • Simple tiering is not enough
  • subscription payment
  • regional locale (because of legal requirements)
  • a more refined customer segmentation
  • Different parts of content may have different
    access control (summaries are lower)
  • Users classification change
  • Remove conflicting subscription categories
  • Check authorization before the distribution of
    every content item

24
Global Repository Management System
  • Provides backing support for user information and
    consistent global taxonomy
  • Maintains users access to various global and
    regional Web sites as a single entity
  • Keep minimal vital information
  • Improve performance and reliability, replication
    techniques (cf. Oracle)
  • Protection
  • strict authorization and through software systems
    only
  • Users are allowed to view and update their
    profiles after authentication
  • broker or financial advisor (and the advisors
    supervisors) of a user can read access a users
    profile and update it only upon authorization
  • update access rules when supervisors assign
    temporary or alternate brokers or financial
    advisors
  • Secrecy of content users usage data

25
System Integration with Web Services
  • Maintain autonomous sub-systems in various units
    of the enterprise
  • XML-based standards
  • A convenient architecture to support both human
    (B2C) and programmatic interfaces (B2B)
  • Unified platform for both inter- and intra-
    organizational interfaces

26
Example publish-and-subscribe through Web
Services
  • An institutional user submitting a request to the
    updateSubscription Web Service of a Content
    Publishing Engine (parameters categories of
    required content, the address of its own
    reception Web Services access point)
  • The institution user has to implement a Web
    Service conforming to the specification of the
    receiveContent service of the Content Reception
    Engine.
  • The Content Publishing Engine verifies the
    request and relays successful request to the
    Global Repository Management System.
  • When new content arrives at the Content
    Publication Engine, the engine queries the Global
    Repository Management System through its
    getSubscribedUsers Web Service, with the tier and
    tags of the new content as parameters.
  • If the institutional user is included in the
    list, the Content Delivery Module of the Content
    Publication Engine will invoke the user-specified
    Web Service accordingly to deliver the piece of
    content.

27
Technical Advantages
  • Complex FECMS decomposed into a set of highly
    coherent but loosely coupled sub-systems
  • Easier for security analysis and identify flaws
    in content management processes
  • Highly scalable and interoperable
  • Web Services allow no practical limitations in
    implementation platform
  • For legacy systems, wrappers may be built around
    them
  • Gradual migration into FECMS possible
  • Generic architecture for other service oriented
    industries - software houses may develop packages
    with our approach
  • External Web Service interfaces are simple
    possible for SME to participate content exchange

28
Conclusions
  • Studied the requirements and technical problems
    of ECM in financial industry
  • A practical enterprise content model and
    architecture
  • Identified key privacy and access control
    requirements and policy
  • Design of FECMS components for effective and
    timely content flow management
  • Use of Web Services / EPAL for inter- and intra-
    enterprise FECMS integration.

29
Future Work
  • Application of Semantic Web technologies in
    content management, flow, and distribution
  • Watermarking to reinforce document management
    policies by supporting non-repudiation in the
    document distribution protocol (HICSS36)
  • The application of an advanced workflow
    management system in FECMS, such as ADOME-WFMS
  • Using the concept of flows and alerts in workflow
    based information integration (HICSS37)
  • In depth study of relations to CRM (HICSS36)
  • Document service negotiation
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