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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.  |
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.  |
InternetNews April 6, 2004 Ryan Naraine |
IBM Targets Regulatory Compliance To support enterprises who struggle to comply with the maze of government regulations for record-keeping, IBM Monday rolled out three new software products to help track and manage internal e-mails and instant messaging conversations.  |
CIO August 15, 2003 Ben Worthen |
NASD Rules Cement Need to Preserve Instant Messages Add saving instant messages to your Sarbanes-Oxley compliance to-do list. Since the Nasdaq this summer joined the New York Stock Exchange in requiring its members to save instant messages, there's a clear precedent for what documents need to be retained under the law.  |
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.  |
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 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.  |
Financial Advisor August 2005 David L. Lawrence |
E-mail Storage And Retrieval Solutions As most financial advisors know, the Sarbanes-Oxley Act (SOX) and SEC rules on electronic communication have produced new challenges and, potentially, increased operational expenses. Here are some solutions.  |
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?  |
Wall Street & Technology February 12, 2004 |
Outlook 2004: Compliance Tops the Charts Never before has Wall Street faced so many new regulations with major technology implications.  |
Registered Rep. October 28, 2015 |
Smarsh: Keeping Compliant As technology continues to evolve, both for advisors and the clients they serve, there will always be new regulations and new compliance challenges.  |
InternetNews June 7, 2004 Clint Boulton |
EMC Aiming For 'Proven' Compliance Worried about compliance rules? The storage giant angles to soothe your fears with new products for documenting data.  |
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.  |
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.  |
Bank Systems & Technology December 1, 2006 Nancy Feig |
What Banks Don't Know About E-mail Archiving Can Hurt Them Overflowing e-mail in-boxes are more than just annoyances -- now, they're also liabilities. Financial institutions increasingly are being judged on the way they manage their e-mail, and they're getting hit hard if they're found to be doing it the wrong way.  |
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.  |
InternetNews January 19, 2005 Clint Boulton |
Sun Solution Manages Compliance Sun Microsystems unveiled a package of hardware, software, and services designed to help enterprises address regulations, such as Sarbanes-Oxley and HIPAA.  |
Wall Street & Technology August 22, 2005 Maria Wakem |
MessageGate Monitors E-Mail MessageGate is helping firms monitor, control and archive e-mail with Email Compliance System 4.1.  |
Financial Planning March 1, 2005 Andrew Miller |
You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention.  |
CIO January 15, 2005 |
Message Therapy Many CIOs thought they had nailed e-mail systems in the '90s and could move on to more important things, but Sarbanes-Oxley, HIPAA and other regulations have moved e-mail management to the top of CIOs' agendas.  |
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 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.  |
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 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.  |
Wall Street & Technology October 27, 2003 Ivy Schmerken |
The Check's In the Mail Financial-services firms are well advised to check their e-mail-retention policy against evolving regulations.  |
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.  |
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.  |
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 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.  |
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran |
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.  |
Investment Advisor February 2010 Chester Wright |
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.  |
Investment Advisor October 2007 Melanie Waddell |
Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.  |
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.  |
Bank Technology News April 2004 |
By The Numbers When it comes to compliance technology spending, internal IT remains the biggest investment for financial institutions. But more firms are opting to buy rather than build.  |
Wall Street & Technology January 5, 2005 Maria Santos |
The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.  |
Wall Street & Technology October 20, 2006 Cory Levine |
Compliance Handoff: Hiring a Full-Time CCO Is Proving Costly for Advisers and Funds, Which Are Now Outsourcing the Entire Compliance Department With many small and mid-size investment advisers and funds struggling under the weight of new compliance regulations, many are finding relief by placing the burden on stronger shoulders.  |
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 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?  |
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 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.  |
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 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.  |
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.  |
Wall Street & Technology November 18, 2005 Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished.  |
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.  |
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.  |
T.H.E. Journal April 2009 Charlene O'Hanlon |
Don't Hit That 'Delete' Button! In response to new federal rules mandating organizations retain their electronic documents, districts are using outside providers to archive their in-house e-mails.  |
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.  |
Wall Street & Technology June 13, 2006 Greg MacSweeney |
Careful What You Wish For While financial firms are relieved by the extension of full Reg NMS implementation, compliance now bumps up against the Nov. 1, 2007 deadline for the European Market in Financial Instruments Directive (MiFID). So where does that leave the industry?  |