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November 28, 2016

Disaster Recovery and Business Continuity for Systemically

Important Financial Institutions Felix Candelario, Solutions Architect

Benjamin Feldon, Solutions Architect

FIN302

The takeaway

Systemically important workloads for Financial

Services are running on AWS

Disaster Recovery can be automated, auditable, &

elastic

You can leverage AWS for Disaster Recovery while

meeting your regulatory requirements

Agenda

• Modernizing Disaster Recovery

• Trading refresher

• Customer Implementation

• Disaster Recovery demo

Modernizing Disaster Recovery

Current Disaster Recovery methods

Manual

Capital intensive

Infrequently tested

Modernizing Disaster Recovery

AuditableAutomated Elastic

Securities Exchange Commission

“having due regard for the public interest, the protection of investors, and the maintenance of fair

and orderly markets, to use its authority under the Exchange Act to facilitate the establishment of a

national market system for securities in accordance

with the Congressional findings and objectives set forth in Section 11A(a)(1) of the Exchange Act.”

[Release No. 34-73639; File No. S7-01-13]

Regulation Systems Compliance and Integrity

• RegSCI requires

• “comprehensive policies and

procedures in place to help ensure

the robustness and resiliency of

their technological systems”

• “geographical diversity”

• “a two hour recovery goal would be

required for recovery facilities”

Customer implementation

Trading refresher

Trading at Exchanges

Customers Broker/Dealers Exchange

Bid Ask

QTY Price QTY Price

300 25.10 500 25.12

400 25.09 600 25.13

150 25.08 300 25.14

900 25.06 250 25.15

B|50@$25.11

Bid Ask

QTY Price QTY Price

300 25.10 500 25.12

400 25.09 600 25.13

150 25.08 300 25.14

900 25.06 250 25.15

Bid Ask

QTY Price QTY Price

500 25.12

300 25.10 600 25.13

400 25.09 300 25.14

150 25.08 250 25.15

900 25.06

Bid Ask

QTY Price QTY Price

50 25.11 500 25.12

300 25.10 600 25.13

400 25.09 300 25.14

150 25.08 250 25.15

900 25.06

ACK

S|75@$25.11

Bid Ask

QTY Price QTY Price

50 25.11 75 25.11

300 25.10 500 25.12

400 25.09 600 25.13

150 25.08 300 25.14

900 25.06 250 25.15

Bid Ask

QTY Price QTY Price

50 25.11 75 25.11

300 25.10 500 25.12

400 25.09 600 25.13

150 25.08 300 25.14

900 25.06 250 25.15

Bid Ask

QTY Price QTY Price

50 25.11 25 25.11

300 25.10 500 25.12

400 25.09 600 25.13

150 25.08 300 25.14

900 25.06 250 25.15

F|50@$25.11

F|50@$25.11

General exchange architecture

Customer Gateways Matching Engines Market Data Engines

Demo workload: AEX

AEX Properties

• 100 symbols listed

• Simulated 100 Broker/Dealers

• Each Broker/Dealer supports

100 customers

• Every customer sends a Buy

or Sell order for a random

symbol for a random quantity

every second

Our fictitious exchange – Amazon EXchange

DR Strategy

AEX Tech Stack

AWS CloudFormation

Troposphere

Amazon EC2 Container Service

Weaveworks Weave Net

Amazon Route 53

Amazon Simple Storage Service (S3)

Infrastructure as code

Generates CloudFormation templates

Container management service

Provides container overlay network

Highly available and scalable cloud DNS service

Captures streaming data to S3Amazon Kinesis Firehose

Secure, durable, highly-scalable cloud storage

FirehoseS3

us-west-2

CloudFormation

template

S3

us-west-2

Firehose

Recovery time objective & recovery point objective

DisasterRecovery point Recovery time

Data loss Down time

FirehoseS3

us-west-2 RPO = 0

CloudFormation

template

S3

us-west-2

Firehose

RTO ~ 7 minutes

RPO = 0

Disaster Recovery Demo

FirehoseS3

us-west-2

S3

us-west-2

Firehose

CloudFormation

template

S3

us-west-2

Firehose

CloudFormation

template

S3

us-west-2

Firehose

CloudFormation

template

S3

us-west-2

Firehose

AEX Architecture

AWS cloud

virtual private cloud

Customer Gateway Cluster Matching Engine Cluster Market Data Cluster

Weave Net

S3Firehose

ECS Cluster ECS Cluster ECS Cluster

Route 53

Weave Net

AEX Architecture

AWS cloud

virtual private cloud

Matching Engine Cluster Market Data Cluster

S3Firehose

ECS Cluster ECS Cluster

Route 53

Customer Gateway Cluster

ECS Cluster

AEX Architecture

AWS cloud

virtual private cloud

Customer Gateway Cluster Matching Engine Cluster Market Data Cluster

Weave Net

ECS Cluster ECS Cluster ECS Cluster

Route 53 S3Firehose

AEX Architecture

AWS cloud

virtual private cloud

Customer Gateway Cluster Matching Engine Cluster Market Data Cluster

Weave Net

S3Firehose

ECS Cluster ECS Cluster ECS Cluster

Route 53

AEX Architecture

AWS cloud

virtual private cloud

Customer Gateway Cluster Matching Engine Cluster Market Data Cluster

S3Firehose

ECS Cluster ECS Cluster ECS Cluster

Route 53

Weave Net

Conclusion

CloudFormation

template

S3

us-west-2

Firehose

RTO ~ 7 minutes

RPO = 0

AWS

CloudFormationCloudFormation

template

Source code

AWS

CodePipeline

Modernizing Disaster Recovery

Assets

Automated

testing results

Scheduled

Benefits of modernized Disaster Recovery

• Elastic

• Auditable

• Reusable

• Easy geolocation

• Reduced attack surface

Modernizing Disaster Recovery

AWS

CloudFormationCloudFormation

template

Source code

AWS

CodePipelineAWS cloud

virtual private cloud

Customer Gateway Cluster Matching Engine Cluster Market Data Cluster

Weave Net

Assets

Automated

testing results

Scheduled

Process of modernizing Disaster Recovery

• Understand your workload

• Evaluate statefulness

• Select and monitor replication techniques

• Architect• Infrastructure as code

• Refactor where necessary

• Rehydrate state

• Test

• Automate

Modernizing Disaster Recovery

AWS

CloudFormationCloudFormation

template

Source code

AWS

CodePipelineAWS cloud

virtual private cloud

Customer Gateway Cluster Matching Engine Cluster Market Data Cluster

Weave Net

Assets

Automated

testing results

Scheduled

Thank you!

Remember to complete

your evaluations!

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