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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.  |
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.  |
Insurance & Technology August 12, 2005 Peggy Bresnick Kendler |
The Compliance Challenge Industry experts offer opinions on what the biggest challenges carriers currently face in terms of regulatory compliance.  |
Bio-IT World January 12, 2004 Steve Lefar |
Systematize Your Regulatory Info! Want better protection against regulation breaches? Build a system that engenders 'grassroots' compliance.  |
Investment Advisor February 2008 Papa & Marks |
The New Paradigm Integrating operations and compliance.  |
Insurance & Technology May 18, 2004 Julie Gallagher |
IT Isn't Tapped for Compliance The insurance industry fails to embrace the full business value of IT when it comes to addressing regulatory requirements and instead relies primarily on manual processes and ad hoc measures  |
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.  |
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.  |
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.  |
Insurance & Technology May 28, 2008 Nathan Conz |
Insurers Taking More Unified Approach to Compliance Compliance is becoming the key component of core systems -- especially within the insurance industry. It means complying with state-to-state insurance regulations; but it also means establishing an anti-money laundering program.  |
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.  |
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.  |
IndustryWeek December 1, 2006 John Teresko |
Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.  |
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.  |
HRO Today Mar/Apr 2008 Kerry Ann Vales |
Compliance Outsourcing Gaining New Ground in HRO Contracts In a world of changing regulations, employers are increasingly looking to service providers to help ensure they meet all applicable mandates. Expect more contracts, especially mid-market ones, to tack on compliance as part of the service delivery.  |
Pharmaceutical Executive January 1, 2013 Ben Comer |
Compliance in the C-Suite Compliance officers have risen into pharmaceutical management's highest ranks, by choice in some organizations, and by government decree in others. Either way, their importance as a strategic partner can hardly be understated.  |
CIO December 11, 2008 Jarina D'Auria |
Achieving Compliance As economic tough times continue, there's one thing companies can count on: more regulations. So, should you buy a GRC tool or leverage existing applications? A company's size and the scope of its operations can help guide that decision.  |
Insurance & Technology May 28, 2008 Nathan Conz |
Compliance Becoming Key Component of Core Systems As insurers strive to holistically align their compliance cultures with day-to-day operations, a similar trend is emerging strictly within the technology realm.  |
Bank Systems & Technology June 14, 2010 Matt Gunn |
FIS to Acquire Compliance Coach Banking and payment technology provider FIS announced Monday it will acquire Compliance Coach, Inc., a company that provides risk assessment software, e-learning and additional tools to enable compliance with applicable laws and regulations.  |
Wall Street & Technology April 14, 2006 Govind Sandhu |
Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.  |
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.  |
Wall Street & Technology June 21, 2004 |
Information Nation The keys to information management compliance  |
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 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  |
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.  |
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.  |
Financial Planning September 1, 2006 Jane Worthington |
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.  |
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.  |
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.  |
Wall Street & Technology May 20, 2008 Cory Levine |
Capgemini Partners With Teradata to Create Compliance and Operations Platform The new platform will enable holistic regulatory reporting and monitoring of trade status issues.  |
Wall Street & Technology March 1, 2004 |
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions.  |
Bank Director 1st Quarter 2010 Ivan Garces |
Considering a Bank Acquisition? Don't Forget BSA and AML Considering a potential acquisition? Don't forget to assess the target bank's compliance with the Bank Secrecy Act and Anti-Money Laundering regulations and the impact of the acquisition on your bank's own AML program.  |
Insurance & Technology February 19, 2004 Anthony O'Donnell |
Compliance as Opportunity Regulatory compliance demands force insurers to dedicate scarce resources, but meeting those demands can be the occasion to accomplish worthwhile IT goals.  |
Wall Street & Technology January 22, 2008 Sabatini & Smirnoff |
Trade Reporting, Surveillance Key To Compliance With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment.  |
Wall Street & Technology August 27, 2004 Paul Allen |
Custodians Target Compliance Firms that lack the technology, data or manpower to monitor compliance are looking to their custodian services for relief.  |
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.  |
FAO Today Mar/Apr 2008 Peggy Cope |
Department Compliance: Are You Desperately Seeking Compliance? New weapons are available in the war to keep companies on the right side of a host of regulations.  |
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.  |
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.  |
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.  |
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.  |
InternetNews April 4, 2006 Michael Hickins |
SAP Takes Compliance Partner In-House SAP acquired its compliance software partner Virsa for an undisclosed sum and is taking some of its budding product plans for compliance in-house.  |
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 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.  |
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.  |
Wall Street & Technology May 15, 2006 Greg MacSweeney |
Playing by the Rules A growing number of voices is calling for a slimming down of SOX's reach, arguing that smaller financial companies cannot afford the compliance price tag.  |
U.S. Banker March 2008 Christopher Myers et al. |
SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.  |
Insurance & Technology November 1, 2006 Maria Woehr |
Message Mania For insurers, e-mail and instant messaging provide easy ways to share information with distributors and employees, communicate effectively with customers and agents, and help claims adjusters transfer files to turn around claims - all in real time.  |
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.  |
Bio-IT World January 12, 2004 |
PDMA Compliance in 12 Steps Prescription Drug Marketing Act violations can cost millions. To save that money, follow this program.  |