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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. 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
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. mark for My Articles similar articles
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. 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
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 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
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. 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
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
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. mark for My Articles similar articles
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. 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
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
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
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
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
Investment Advisor
February 2010
Chester Wright
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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
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
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
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 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
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. 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 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
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. 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
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? mark for My Articles similar articles