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Bank Systems & Technology March 27, 2008 Cory Levine |
Compliance Costs Continue to Rise Compliance costs are eating up more and more of firms' net income.  |
Wall Street & Technology March 1, 2004 |
Institutions Find it Tough to Meet Sarbox Deadline As the first deadline for Sarbanes-Oxley compliance of June 15 nears, financial-institutions are finding that complying is more difficult than they had anticipated  |
U.S. Banker November 2007 Patrick Conte |
Embrace This Acronym: IT GRC. It Could Save Banks a Bundle. Used to describe the interdependent disciplines of governance, risk and compliance, GRC refers to the people, processes and technology banks invest in to comply with regulations and manage risk as part of effective corporate governance.  |
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran |
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.  |
Wall Street & Technology February 23, 2008 Cory Levine |
Compliance Costs Grow Faster Than Net Income According to New York-based Deloitte & Touche's Deloitte Center for Banking Solutions, compliance costs are eating up more and more of firms' net income, due to applying human resources to monitor regulations.  |
Bank Technology News April 2006 Michael Sisk |
Compliance: The New Rule Book Is Still Like A Maze There are so many new regulations that banks are having difficulty organizing their corporate structure to ensure these new rules are being adequately followed.  |
Bank Technology News October 2008 Kyle Duckers |
Strategic GRC Yields Clear Payback Can a financial institution's governance, risk and compliance effort be a strategic tool, or is it simply a cost of doing business? Can best practices actually improve shareholder value? These are important questions that some financial services executives continue to ponder.  |
Insurance & Technology August 10, 2006 Maria Woehr |
Compliance Automation Responding to growing pressure on insurers to comply with federal regulations such as Sarbanes-Oxley, the Gramm-Leach-Bliley Act, the Federal Information Act and HIPAA, ControlPath launched ControlPath Compliance Suite 3.0.  |
Bank Technology News May 1, 2008 Michael Grebb |
The War to Keep Compliance Talent Financial institutions wade through an ever-deepening regulatory swamp, and therefore an escalating war for compliance talent.  |
Bank Technology News May 2007 |
The Six Regulatory Areas That Are Altering Bank Life Regulation is a part of bank life. Failure to comply shouldn't be.  |
Wall Street & Technology June 22, 2004 Steve Marlin, InformationWeek |
Learning to Like Compliance Speakers at InformationWeek Media Network's compliance forum are achieving compliance without disrupting their businesses.  |
CIO July 1, 2005 Edward Prewitt |
Sox Compliance Now Business as Usual The effect of the Sarbanes-Oxley Act (Sox) on IT budgets is already receding, as compliance becomes just another cost of doing business, according to recent reports.  |
Bank Systems & Technology April 28, 2008 Paul L. Lee |
Integrating Systems Essential to AML and SAR Compliance To follow regulators' requirements, banks must leverage and coordinate compliance, risk management and IT department efforts.  |
Bank Systems & Technology February 22, 2007 Nancy Feig |
A Happy Marriage: Finding the Right Technology Mate for Compliance Programs Banks are turning to GRC software platforms to maximize compliance technology's effectiveness and gain greater return on investment.  |
Insurance & Technology April 20, 2005 Anthony O'Donnell |
Compliance Sticker Shock In a recent survey, financial services companies have reported higher-than-expected costs in dealing with the demands of Sarbanes-Oxley Section 404 compliance.  |
Bank Systems & Technology February 27, 2006 Maria Bruno-Britz |
Taking SOX to the Next Level It is time for banks to rethink their strategic approaches to Sarbanes-Oxley requirements.  |
Wall Street & Technology October 26, 2005 Katherine Heires |
By the Dashboard Light As regulatory concerns persist, many financial firms are turning to dashboard technology to simplify compliance initiatives. Here are 12 key questions to ask before starting a compliance dashboard project.  |
Investment Advisor June 2009 Thomas D. Giachetti |
Not Just the CCO While the chief compliance officer (CCO) should be the main player in the compliance review process, whenever possible at least one other firm officer be involved.  |
Bank Technology News January 2007 |
Leveraging Compliance: Following the Rules Can Really Pay Off Regulation is leading financial institutions to focus more keenly on compliance software. But the technology can also be useful in corporate pursuits like marketing and financial planning.  |
Wall Street & Technology August 27, 2004 Jessica Pallay |
Building the Right Team With no sign of waning regulations, compliance officers remain essential to the architecture of the securities industry.  |
The Motley Fool December 1, 2004 Rich Duprey |
Gee, Thanks: More Time in the Maze Companies under $700 million market cap get Sarbanes-Oxley filing extension.  |
IndustryWeek December 1, 2006 John Teresko |
Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.  |
Wall Street & Technology January 4, 2004 |
Beyond Compliance: The Business Value of Sarbox Investing in Sarbanes-Oxley could offer a competitive edge, according to a recent TowerGroup report.  |
Wall Street & Technology September 23, 2005 |
Basel II Falls Flat Despite increased efforts, banks are less certain about the benefits of Basel II compliance, according to a recent survey.  |
CIO May 15, 2006 Diann Daniel |
Regulation's Silver Lining John Hagerty, vice president of research with AMR, says regulatory mandates have put a new spotlight on IT as a means to mitigate business risk.  |
Bank Technology News April 2006 Glen Fest |
Enterprise Content Management: Honey, I Shrunk The Doc Management System Regulatory niches are becoming an electronic content management specialty, as when Systemware went down market with a big-bank tool to aid a community bank's growing compliance needs.  |
Wall Street & Technology November 17, 2003 Ivy Schmerken |
Holistic Compliance With a torrent of regulations raining down on them, Wall Street firms are wise to think about developing a global-compliance architecture. But can the chief compliance officer sell the project to senior management?  |
Bank Director 2nd Quarter 2010 Jack Milligan |
Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.  |
OCC Bulletin January 4, 2002 |
Bank Secrecy Act/Anti-Money Laundering Interim Guidance on Compliance with the USA PATRIOT Act...  |
Information Today October 6, 2015 |
Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company.  |
Bank Systems & Technology June 1, 2005 Phil Britt |
Missed Opportunity Though Sarbanes-Oxley, Basel II and revisions in state and federal banking laws continue to increase the time and cost commitment banks must make for compliance, there are ways to mitigate the burdens of regulatory requirements and even improve operations.  |
Bank Technology News December 2007 |
Scoring Banks' Compliance With FFIEC Guidelines Compliance with FFIEC guidelines brought out the worst in many bankers. So how did banks do in terms of compliance?  |
Bank Systems & Technology November 24, 2008 Peggy Bresnick Kendler |
Agiliance Launches RiskVision, IT Risk, Compliance Management Platform San Jose, Calif.-based Agiliance, a provider of governance, risk and compliance software solutions, has launched RiskVision 4.0, a risk and compliance management platform.  |
Wall Street & Technology January 4, 2004 |
Do Not Call Compliance Each infraction, that's one sales call to a number listed on the Do Not Call list, can cost your firm up to $11,000.  |
Bank Technology News January 2006 |
Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business.  |
U.S. Banker May 2005 Karen Krebsbach |
SOX Costs Prompt Switch From Public to Private Many public community banks are going private to avoid the high costs and reporting requirements of Sarbanes-Oxley compliance. But are the savings of going private worth the hassle?  |
Bank Technology News February 2009 Brian Longe |
Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure.  |
U.S. Banker March 2007 Paresh Amin |
Balancing Industry Mandates and Federal Regulations Financial companies need to consider compliance, business objectives and data security in a holistic manner. All three can be boiled down to one main requirement: determining what is happening to critical data.  |
Wall Street & Technology November 21, 2006 Cory Levine |
Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates.  |
Financial Planning October 1, 2009 Nancy Lininger |
What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role.  |
Wall Street & Technology March 18, 2008 Cory Levine |
Lack of Standardization in Data, Reporting to Hinder Basel II Compliance Lack of standardization in the reporting process will be a major hurdle for financial institutions in complying with Basel II requirements.  |
Insurance & Technology June 16, 2004 Julie Gallagher |
Look On the Bright Side Rather than letting the clouds of regulation rain on their operations, insurers that look for compliance's silver lining have an opportunity to improve their business processes.  |
Wall Street & Technology February 12, 2004 Jessica Pallay |
Suiting Up For SOX The Sarbanes-Oxley Act has CIOs struggling to find technology that will support tighter financial controls and processes.  |
Wall Street & Technology April 27, 2004 Jessica Pallay |
SEC Sets Back SOX Sarbanes-Oxley deadlines are delayed, but firms find little solace in the regulation's extension.  |
Bio-IT World February 11, 2005 Judy Hanover |
Leveraging IT to Achieve Compliance Budgeting and measuring the success of compliance initiatives is a credibility issue for CIOs.  |
Wall Street & Technology March 21, 2006 |
Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices.  |
Financial Planning July 1, 2006 Jane Worthington |
Compliance Tips: What Now? John Walsh, of the SEC's Office of Compliance Inspections and Examinations, offered these ten points for post-review discussions to attendees at NRS' Spring Compliance Conference.  |
Wall Street & Technology August 22, 2005 Maria Wakem |
Macgregor Proves Compliance Boston-based Macgregor's latest compliance control and reporting solution, XIP Enterprise Compliance, eases the burden of proving to the SEC that firms have the proper controls in place.  |
Bank Systems & Technology May 15, 2008 Paula Damiano |
Qualys Offers SaaS Risk Management Qualys introduced the QualysGuard Enterprise Security and Compliance Suite, the first integrated Software-as-a-Service solution for risk management.  |
Wall Street & Technology February 4, 2005 Maria Santos |
Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them.  |