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Wall Street & Technology
August 22, 2006
IT Not Aware of GRC Needs Says Compliance Pros A survey of more than 200 governance risk and compliance professionals, 37.8% of whom represent financial services companies, reports that the majority of respondents believe their IT departments aren't meeting the GRC needs of the business. mark for My Articles similar articles
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. mark for My Articles similar articles
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 mark for My Articles similar articles
Insurance & Technology
December 23, 2005
Rethinking Risk Management Many firms have allocated a disproportionate amount of resources to Sarbanes-Oxley compliance, according to a new report. mark for My Articles similar articles
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. mark for My Articles similar articles
IndustryWeek
December 1, 2006
John Teresko
Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution. mark for My Articles similar articles
Insurance & Technology
March 2, 2006
Maria Woehr
Risky Business Executives lack a high degree of confidence in their organizations' risk management capabilities, according to a Protiviti survey of more than 75 C-level executives from U.S.-based Fortune 1,000 companies. mark for My Articles similar articles
Investment Advisor
February 2008
Papa & Marks
The New Paradigm Integrating operations and compliance. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Wall Street & Technology
July 1, 2005
Maria Santos
HP Eases Compliance Monitoring To provide CIOs with a solution for automated monitoring and reporting of compliance controls, Hewlett-Packard released OpenView Compliance Manager. The solution analyzes, compiles and reports compliance and IT risk information in a centralized dashboard view. mark for My Articles similar articles
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. mark for My Articles similar articles
Insurance & Technology
July 1, 2008
Nathan Conz
Lucido Named Chief Compliance Officer at MassMutual Bradley J. Lucido was named by MassMutual to succeed the retiring Margaret Sperry as senior vice president and chief compliance officer. mark for My Articles similar articles
Food Processing
March 2009
Global Consumer Goods Associations to Merge The boards of CIES-The Food Business Forum, the Global Commerce Initiative, and the participants of the Global CEO Forum agreed in February to combine their assets. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Wall Street & Technology
September 24, 2007
Melanie Rodier
Large U.S. Firms Getting Better at Managing Risk, But Can Still Improve Large U.S. companies have improved their ability to identify and manage potentially critical business risks, but they still have a way to go, according to a study. mark for My Articles similar articles
IndustryWeek
August 1, 2008
David Blanchard
Portrait of Best-in-Class Global Trade Compliance Trade compliance is taking on more prominence in separating the best companies from the also-rans. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
April 1, 2006
Kristen French
Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
March 2006
Parks & Paris
IA Soapbox: Why We Went RIA In the RIA model, compliance issues serve to remind us that we are on the same side of the table as our client, and that staying compliant will help us forge together a long-lasting relationship. mark for My Articles similar articles
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. mark for My Articles similar articles
Bank Systems & Technology
July 5, 2004
Cynthia Ramsaran
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance. mark for My Articles similar articles
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. mark for My Articles similar articles
Insurance & Technology
March 18, 2005
Anthony O'Donnell
Hancock Eyes Global Needs Boston-based John Hancock made two appointments to its global compliance team. The carrier named Kevin Cloherty to the new position of VP and chief counsel of global and U.S. compliance and appointed Mitchell Karman to fill the existing position of VP mark for My Articles similar articles
Bank Systems & Technology
March 10, 2004
Steven Marlin
IBM Debuts Integration Solutions Vertical approach helps banks' compliance efforts. mark for My Articles similar articles
Wall Street & Technology
May 30, 2007
Melanie Rodier
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending. mark for My Articles similar articles
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. mark for My Articles similar articles
Information Today
October 6, 2015
Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company. mark for My Articles similar articles
Wall Street & Technology
February 25, 2008
Melanie Rodier
Ineffective Access Management Poses Risk to Businesses A new study shows that the majority of IT professionals view collaboration among business units and audit, compliance and IT security functions as critical to achieving good access management, but most feel it isn't happening. mark for My Articles similar articles
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 mark for My Articles similar articles
Insurance & Technology
November 12, 2007
Mark La Penta
Metlife Bank CTO Mark La Penta Talks About Holistic Risk Management Given the recent disruption in mortgage markets and continued vigilance in channel access, the integration of technologies and process around overall risk management will be a key priority in 2008. mark for My Articles similar articles
IndustryWeek
March 16, 2011
Ebert et al.
Managing Regulatory Challenges in a Global Marketplace Meeting requirements in emerging markets makes regulatory compliance an increasingly difficult issue for manufacturers. A new study sheds light on the challenges and how leading companies are meeting them. mark for My Articles similar articles
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. mark for My Articles similar articles
Insurance & Technology
June 14, 2005
Wendy Toth
Securing Compliance: System, Project or Process? Database and application security products are growing in popularity as companies look for ways to keep up with regulatory demands like Sarbanes-Oxley. mark for My Articles similar articles
InternetNews
July 26, 2010
Tripwire Enterprise 8.0 Automates Compliance Enhancements in Tripwire Enterprise 8.0 automate compliance and repair of configuration errors. mark for My Articles similar articles
Wall Street & Technology
March 2, 2010
Melanie Rodier
Buy-Side And Sell-Side Firms Focus On Data Quality And Consistency A survey of 100 buy- and sell-side firms revealed that more than three quarters of participants intend to increase spending on projects that address data quality and consistency issues. mark for My Articles similar articles
InternetNews
March 16, 2011
Stuart J. Johnston
IBM Helps Commerce Companies Get Smarter Big Blue estimates that the market opportunity for its Smarter Commerce initiative could run as high as $70 billion. mark for My Articles similar articles
Wall Street & Technology
January 24, 2006
Maria Wakem
Holding the Spending Line Finding ways to control compliance costs has become a high priority for Wall Street CIOs as they realize that more IT dollars diverted toward compliance means fewer IT dollars devoted to clients' needs and company growth. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles