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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. 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
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. 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
Wall Street & Technology
November 26, 2007
Melanie Rodier
Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Wall Street & Technology
March 21, 2006
Cory Levine
Education in Regulation In partnership with the NASD, the U.K.'s University of Reading will offer what is believed to be a first-of-its-kind Master's in Capital Markets, Regulation and Compliance from the University's business school. mark for My Articles similar articles
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. mark for My Articles similar articles
Wall Street & Technology
July 27, 2004
Jessica Pallay
Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering. 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
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
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
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
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
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
Bank Systems & Technology
December 1, 2003
Cynthia Ramsaran
Newer Regulations Keep Banks On Their Toes When it Comes to Content Compliance demands highlight need for enhanced content management strategies. 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
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. 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
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
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. 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
Wall Street & Technology
March 1, 2004
Jim Middlemiss
Compliance Issues Overwhelm the Industry Financial-services firms grapple with the multitude of compliance issues facing the industry. Is there an end in sight? mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Wall Street & Technology
June 28, 2005
Maria Santos
The Shift to Holistic Compliance As U.S. financial institutions feel the burden of complying with a multitude of regulations, forward-thinking firms are examining ways to use their existing technology for more than one compliance initiative. 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
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
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
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
Wall Street & Technology
August 22, 2005
Atul Seth
Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully. mark for My Articles similar articles
IndustryWeek
February 1, 2009
Nick Zubko
Running a Tight Ship JDSU automates export compliance to gain more control over its growing business. 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 Advisor
June 2004
Tracey Longo
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S. mark for My Articles similar articles
Financial Planning
June 1, 2005
Juliette Fairley
FP50: Angst Over Compliance As financial advisory firms struggle to manage a raft of new regulations, they are banding together to rein in the rule-makers. mark for My Articles similar articles
Bank Systems & Technology
January 6, 2009
Maria Bruno-Britz
Banks to Face Greater Scrutiny in 2009 Banks will experience greater oversight as the new administration seeks to help the finance sector recover. mark for My Articles similar articles
Bank Systems & Technology
March 30, 2007
Maria Bruno-Britz
Banks' AML Strategies May Increase Risk Factors While technology can assist a bank's anti-money laundering efforts substantially, there's no one-size-fits-all solution. mark for My Articles similar articles
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. mark for My Articles similar articles
Bank Systems & Technology
August 31, 2004
Peggy Bresnick Kendler
E-Learning With ever-changing compliance requirements, e-learning provides a method of training bank employees on the newest regulations. mark for My Articles similar articles
Bank Systems & Technology
May 31, 2004
Cynthia Ramsaran
Banks Go Beyond Budgets For Compliance Many financial institutions are overspending by duplicating compliance and disaster recovery efforts. 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
InternetNews
March 7, 2005
Jim Wagner
Tech Heavies Throw Weight Into Compliance HP, Oracle and others want to build a cross-industry, global framework for companies looking to get a handle on government compliance regulations. mark for My Articles similar articles
InternetNews
October 20, 2004
Clint Boulton
IBM Spruces Up Compliance Taking advantage of compliance regulations to pursue new revenue streams, IBM said it has created a new storage device and software packages to make it easier for businesses to meet record retention policies. mark for My Articles similar articles