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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.  |
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 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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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 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.  |
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.  |
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  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor February 2008 Papa & Marks |
The New Paradigm Integrating operations and compliance.  |
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 May 2007 |
The Six Regulatory Areas That Are Altering Bank Life Regulation is a part of bank life. Failure to comply shouldn't be.  |
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran |
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.  |
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.  |
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.  |
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 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?  |
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.  |
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.  |
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.  |
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 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.  |
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.  |
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.  |
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 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.  |
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.  |
IndustryWeek February 1, 2009 Nick Zubko |
Running a Tight Ship JDSU automates export compliance to gain more control over its growing business.  |
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.  |
Financial Advisor June 2004 Tracey Longo |
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.  |
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.  |
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.  |
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.  |
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 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.  |
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.  |
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.  |
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.  |
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.  |