The present invention relates to restricted information. In particular, the present invention relates to systems and methods to secure restricted information.
In some cases, an enterprise may need to restrict access to information. For example, regulations or business procedures might require that a user (or a group of users) be prevented from accessing restricted financial information associated with a particular business deal or company. The restricted financial information might represent, for example, material non-public information and/or client confidential information.
It is known that procedures can be established to erect a barrier, sometimes referred to as a “Chinese wall,” that prevents a user (or a group of users) from accessing restricted information. For example, an information manager might maintain a list of users who, for regulatory or other reasons should be allowed to access information associated with a particular merger transaction (e.g., a list that does not include traders who shouldn't know about the deal). Information associated with the deal (e.g., paper files and/or electronic files) might then be stored in a secure room—and the people on the list could be allowed to enter the room. According to another approach, a list might be kept of people who should be prevented from entering the room.
Such an approach, however, can be impractical. For example, in some cases a user should only have access to restricted information associated with a single deal or company (e.g., he or she might have access to client confidential information for company A but not for company B). In other cases, a user should be allowed to access all restricted information except for information associated with a particular deal or company (e.g., he or she might be allowed to access all deal information except the deal information associated with company B). Moreover, a single user might be associated with different types of restrictions for different deals and companies, and the restrictions could change over a period of time (e.g., a user might “cross the wall” for a limited period of time to handle a particular deal). As a result, managing and enforcing appropriate restrictions can be difficult—especially when there are a large number of users, deals, and/or companies.
In addition, it can be inefficient to enforce restrictions by limiting a user's physical access to information. For example, a user might need to travel to a specific location in order to access information associated with a particular deal. Such an approach can also be ineffective. For example, a user who is authorized to access material non-public information might inadvertently provide the information to someone who should not have access (e.g., by attaching a file to an email message or by printing a document on a public printer). That is, a user might not realize that certain information is restricted and/or that another user should not have access to the information.
To alleviate problems inherent in the prior art, the present invention introduces systems and methods to secure information.
In one embodiment of the present invention, it is determined that a user is attempting to attach information to an email message. It is then automatically determined whether or not the information includes restricted information. If the information includes restricted information, it is arranged for a link to the restricted information to be inserted without attaching the restricted information to the email message.
According to another embodiment, a user request is verified based on (i) user information, such a user name and password, (ii) a unique identifier (e.g., an address or directory) associated with a workstation, such as an Internet Protocol address, and (iii) a request authentication procedure. If the user request is verified, it is arranged for an application to be executed at a secure application server within a secure network and for information to be exchanged between the secure application server and the workstation through a firewall associated with the secure network, wherein the workstation is outside the secure network. It is also determined whether the user is allowed to access a file stored at a secure file server within the secure network based at least in part on access information associated with the file. If the user is allowed to access the file, it is arranged for information associated with the file to be provided to the application executing at the secure application server.
According to still another embodiment, it is arranged for non-restricted information to be displayed on a first display unit associated with a workstation. Similarly, it is arranged for restricted information to be displayed on a second display unit associated with the workstation.
According to yet another embodiment, a request is received from a user to send restricted financial information from a secure file server within a secure network to a printer outside the secure network. If the printer is authorized to output the restricted financial information, the restricted financial information is transmitted to the printer.
Another embodiment comprises: means for determining that a user is attempting to attach information to an email message; means for automatically determining if the information includes restricted information; and means for if the information includes restricted information, arranging to insert into the email message a link to the restricted information without attaching the restricted information to the email message.
Another embodiment comprises: means for verifying a user request based on (i) user information, (ii) a unique address associated with a workstation, and (iii) a request authentication procedure; means for, if the user request is verified, arranging for an application to be executed at a secure application server within a secure network and for information to be exchanged between the secure application server and the workstation through a firewall associated with the secure network, wherein the workstation is outside the secure network; means for determining whether the user is allowed to access a file stored at a secure file server within the secure network based at least in part on access information associated with the file; and means for, if the user is allowed to access the file, arranging for information associated with the file to be provided to the application executing at the secure application server.
Still another embodiment comprises: means for arranging for non-restricted information to be displayed on a first display unit associated with a workstation; and means for arranging for restricted information to be displayed on a second display unit associated with the workstation.
Yet embodiment comprises: means for receiving a request to send restricted financial information from a secure file server within a secure network to a printer outside the secure network; and means for, if the printer is authorized to output the restricted financial information, transmitting the restricted financial information to the printer.
With these and other advantages and features of the invention that will become hereinafter apparent, the invention may be more clearly understood by reference to the following detailed description of the invention, the appended claims, and the drawings attached herein.
Some embodiments described herein are associated with “restricted information.” As used herein, the phrase “restricted information” may refer to any information that should be accessed by certain users but not by other users. The restricted information might include, for example, electronic files, text information, spreadsheets, graphical information, and/or audio information. Examples of restricted information include (but are not limited to) financial information, material non-public information, confidential, client confidential or proprietary or classified information, information subject to legal, executive, or professional privilege or immunity, information for which a particular security clearance may be required, and information restricted by a regulatory body or self-regulatory organization or by government, judicial, administrative, regulatory, self regulatory organization rule, order or authority. Other examples include internal information, trade secret information, technical information, and “firm” confidential information.
According to some embodiments, the restricted information may be associated with a privacy statute (e.g., in order to comply with European Union privacy requirements). As still another example, the restricted information might be associated with a governmental investigation (e.g., in connection with a grand jury investigation or an investigation of suspicious activities).
System Overview
The secure network 210 may communicate with other networks 220, 230, 240 via an interface having a “firewall” 212. As used herein the term “firewall” may refer to any hardware and/or software that protects the resources of a network. For example, the firewall 212 might examine network packets to determine whether the packets will be forwarded to destinations within the secure network 210. The firewall 212 might also include a proxy server that makes network requests on behalf of workstation users within the secure network 210.
The secure network 210 may include a secure application server 214. The secure application server 214 may be any device on which applications (e.g., Microsoft® WORD) can be executed for other workstations. The secure application server 214 might be, for example, a CITRIX® server that provides secure, on-demand access to applications.
The secure network 210 may also include a secure print server 216 to facilitate the transfer of information to a printer. In addition, the secure network 210 may include a secure email server 218 to facilitate the transfer of information via email messages. The secure email server 218 might be, for example, a Microsoft® EXCHANGE server or a BLACKBERRY® server.
The secure network 210 may further include a secure file server 500 that stores information (e.g., as described with respect to
An external network 220 (e.g., external to the control room) may include a number of workstations that exchange information with the secure network 210 via the firewall 212. In some cases, an external network 230 may also have its own firewall 232. Note that in addition to workstations, an external network 240 could include a printer 242 and/or display units 910, 920 (described with respect to
The security features of the system 200 according to some embodiments will now be described with respect to
Security Apparatus
The processor 310 is also in communication with a storage device 330. The storage device 330 may comprise any appropriate information storage device, including combinations of magnetic storage devices (e.g., magnetic tape and hard disk drives), optical storage devices, and/or semiconductor memory devices such as Random Access Memory (RAM) devices and Read Only Memory (ROM) devices.
As shown in
Referring to
The user name 402 may be an alphanumeric code associated with a particular user. The password 404 may be another alphanumeric code associated with that user. The user name 402 and password 404 might be defined, for example, by the user or by a security administrator.
Referring again to
According to some embodiments, a user accesses a workstation and requests to execute an application on the secure application server 214. The request is then verified based on (i) the user name, (ii) the user password, (iii) the IP address associated with the workstation, and (iv) a request authentication procedure (e.g., Kerberos). Although an IP address is provided herein as an example, other unique identifiers (e.g., unique to the system) such as a Media Access Control (MAC) address could also be used. Note that different components might perform different parts off the verification. For example, the workstation might verify the user name and password. The security apparatus 300 might then verify that the request was received from an IP address associated with that user (or workstation). In addition, the security apparatus 300 might authenticate the request using tickets and an authentication server in accordance with the user's Kerberos information.
If the user request is verified, it is arranged for an application to be executed at the secure application server 214 within the secure network 210 and for information to be exchanged between the secure application server 214 and the workstation through the firewall 212. For example, when a request from a user external to the control room is received, a copy of Microsoft EXCEL® might be executed on a CITRIX server located inside the control room.
It can then be determined whether the user is allowed to access a file stored at the secure file server 500 within the secure network 210 based at least in part on access information associated with the file (e.g., as stored in the share information database 332). According to some embodiments, the access information comprises Distributed File System (DFS) information. For example,
If the user is allowed to access the file (e.g., in accordance with the access information), it can be arranged for information associated with the file to be provided to the application executing at the secure application server 214 (e.g., a Microsoft EXCEL® spreadsheet might be opened). The user can then access and/or change the information as appropriate. For example, an analyst might be allowed to open a file stored in the “$DEAL_B” folder (while a trader might not even be able to see that folder).
According to some embodiments, the names of files or folders that contain restricted information are identifiable. In the example illustrated in
Secure Email
At 602, it is determined that a user is attempting to attach information to an email message. Note that the method of
At 604, it is automatically determined whether or not the information includes restricted information (e.g., material non-public information or client confidential information). The determination may be based on, for example, a file name, a file path, directory share information, and/or DFS information. In this example, all files and folders that contain restricted information begin with the “$” character. Thus, if no appears in the file path, the information is not restricted and is allowed to be attached to the email message at 606.
If at least one “$” appears in the file path, it is determined at 608 if the destination of the email message is internal to an enterprise. For example, any destination (e.g., “to:” or “cc:”) other than “______@enterprise.com” might be assumed to be external to the enterprise.
At 610, it is determined whether a link to the restricted information should be inserted into (e.g., attached to) the email message. For example, the user might be notified that he or she has attempted to attach a restricted file to the email message. The user might then be asked if a Uniform Resource Locator (URL) link to the file should be attached to the email message. An indication may then be received from the user, such as when he or she activates an “OK” Graphical User Interface (GUI) icon.
If no link is to be inserted, the process ends without attaching the file to the email message at 612. Otherwise, the link to the file's location on the secure file server 500 is inserted at 614 (without attaching the file). In this way, the person who receives the email can attempt to retrieve the restricted information from the secure file server 500, and will only be able to do so if he or she should have access to that information. Thus, the inadvertent disclosure of restricted information may be avoided.
If a link is to be inserted, the link to the web portal is inserted at 706 (without attaching the file). In this way, the person who receives the email can access the web portal via a secure web interface, such as an interface that provides the restricted information to the party via the Secure Sockets Layer (SSL) protocol (assuming he or she has been granted access to the restricted information). Moreover, according to some embodiments the restricted information is removed (e.g., “wiped”) from the web portal after the information is provided to the party.
Dual Displays
Referring again to
For example,
Secure Printing
Thus, embodiments of the present invention may provide efficient access to secure information while reducing the likelihood that such information will be inadvertently provided to parties who should not be able to access the information.
Additional Embodiments
The following illustrates various additional embodiments of the present invention. These do not constitute a definition of all possible embodiments, and those skilled in the art will understand that the present invention is applicable to many other embodiments. Further, although the following embodiments are briefly described for clarity, those skilled in the art will understand how to make any changes, if necessary, to the above-described apparatus and methods to accommodate these and other embodiments and applications.
Although some embodiments have been described herein with respect to financial information, the present invention may be used in connection with any other type of restricted information. For example, a governmental regulation might require that access to certain documents be limited (e.g., documents might be considered “classified” or “secret”). Similarly, a judicial decree or court order might limit who should be allowed to access information (e.g., only the parties to a civil action and a limited number of attorneys might be allowed to view trade secret information). As another example, access to information that concerns a person's expectation of privacy might be limited (e.g., a person's medical records). As still another example, a limited number of bank employees may be allowed to access information when suspicious activity has been detected with respect to a bank account (e.g., transferring large amounts of money out of a foreign country). Note that in some cases, an enterprise might be required to take “reasonable” steps to protect information or a statute might explicitly provide a “safe harbor” when certain protections are in place. In either case, some or all of the various embodiments described herein might be used to demonstrate that such obligations have been met.
Moreover, the systems provided herein are merely for illustration and embodiments may be associated with any type of network topologies. In addition, although two display units are described with respect to
The present invention has been described in terms of several embodiments solely for the purpose of illustration. Persons skilled in the art will recognize from this description that the invention is not limited to the embodiments described, but may be practiced with modifications and alterations limited only by the spirit and scope of the appended claims.
The present application claims the benefit of U.S. Provisional Patent Application No. 60/551,587 entitled “Systems and Methods to Secure Restricted Financial Information” and filed on Mar. 9, 2004.
Number | Date | Country | |
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60551587 | Mar 2004 | US |