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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 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.
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.
Bank Systems & Technology August 5, 2004 Cynthia Ramsaran	Knowledge Is Power Because of increasing compliance pressures, experts believe banks will find ways to make content management an integral component of their information management strategies.
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.
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.
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?
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 February 12, 2004 Anthony Guerra	Learning to Manage the Message As instant messaging becomes a favorite among Wall Street traders, it also garners the attention of industry regulators.
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 April 27, 2004 Ivy Schmerken	Hedging the Risk of Instant Messaging While hedge funds enjoy the simplicity of trading via IM networks, compliance and reliability concerns have them seeking IM products with built-in archival systems.
Inc. October 2005 John Fried	The Government's Take on E-mail Regulators have thought up lots of rules governing e-mail. It's your job to figure out which ones cover you.
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.
InternetNews November 21, 2005 Tim Gray	Reuters Connects IM Players The new instant messaging service for financial institutions will save a paper trail for compliance purposes.
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.
Bank Technology News January 2004 Karen Krebsbach	IM Regs Loom For Wall Streeters Until the SEC acts, firms will follow NASD guidelines on instant messaging.
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.
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.
Financial Advisor July 2008 David Lawrence	Keeping The Record Straight Financial Planning Association President Mark Johannessen and Andrew J. "Buddy" Donohue, director of the investment management division of the U.S. Securities and Exchange Commission, discuss current regulatory issues affecting the financial planning profession.
InternetNews January 6, 2009 Drew Robb	Obama, Dems Could Mean New Compliance Regs The global financial meltdown and Democratic control of the White House and Congress will likely mean new corporate accountability regulations - and more work for storage administrators.
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.
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 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?
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.
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.
InternetNews February 25, 2005 Steve Apiki	Sarbanes-Oxley: Driving the Storage Compliance Boom No government or agency regulation has refocused the energies of IT administrators and storage professionals like the Sarbanes-Oxley Act.
Wall Street & Technology February 15, 2007 Cory Levine	Trial and Error: When It Comes to Compliance, the Bare Minimum Isn't Enough Anymore How one financial firm's CCO dumped two e-mail archiving providers before being satisfied with his e-mail compliance.
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.
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.
Wall Street & Technology March 21, 2006 Cory Levine	IM: Real-Time Problems With Wall Street increasingly utilizing instant messaging (IM), financial firms must take the appropriate measures to ensure compliance with SEC rules 17a-3 and 17a-4, as well as individual NYSE and NASD mandates governing electronic communications.
CIO September 15, 2003 Geoffrey James	Auditing the Chat Line You've got instant messaging. And the accountants and regulators may want to take a look at it someday. Especially if you are in the financial services industry, instant chat missives are subject to the same kinds of document retention rules that govern paper documents and e-mail messages.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
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 Technology News April 2006 Glen Fest	Enterprise Content Management: Honey, I Shrunk The Doc Management System Regulatory niches are becoming an electronic content management specialty, as when Systemware went down market with a big-bank tool to aid a community bank's growing compliance needs.
FAO Today Nov/Dec 2007 Patrick Queen	Outsourcing Records Management: What Every Organization Needs to Know An enterprise-wide records management program, for paper and electronic records (including e-mail), is essential for sound financial controls.
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.
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.
InternetNews August 29, 2005 Jim Wagner	Work Remains for Sarbox Compliance Businesses have a lot of work ahead of them before they're fully compliant with federal data retention and financial reporting rules under the Sarbanes-Oxley Act, a new study concludes.
Wall Street & Technology January 4, 2004	Beyond Compliance: The Business Value of Sarbox Investing in Sarbanes-Oxley could offer a competitive edge, according to a recent TowerGroup report.
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.
InternetNews March 16, 2004 Clint Boulton	Permabit Wants to Make its Mark on Storage Startup finds niche in storage in a time when meeting new government regulations like Sarbanes-Oxley is top priority for most enterprises.
CFO June 16, 2003 Bob Violino	File Under 'Nightmare' Information overload has acquired a regulatory dimension, forcing senior executives to take notice.
Wall Street & Technology November 19, 2007 Melanie Rodier	Financial Services Outperform Other Industries in Records Management The financial services industry is doing a better job managing records than other industries, largely due to strict regulations.
Wall Street & Technology February 12, 2004 Jim Middlemiss	To Be or Not to Be an IM Shop? Financial-services firms are divided when it comes to allowing instant messaging. Many warn they don't have a choice.
Bank Technology News October 2004 Shane Kite	Communications: Next-generation Im Opens Two More Pandora's Boxes Is technology that combines instant messaging with file-sharing and voice-over IP phone calls an innovation or a conduit for even more viruses?
Bank Technology News May 1, 2008 Michael Grebb	The War to Keep Compliance Talent Financial institutions wade through an ever-deepening regulatory swamp, and therefore an escalating war for compliance talent.
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.
Insurance & Technology March 18, 2005 Anthony O'Donnell	You've Got (potentially dangerous) Mail Insurance companies are learning to manage security issues with email and messaging.
Insurance & Technology November 1, 2006 Maria Woehr	Message Mania For insurers, e-mail and instant messaging provide easy ways to share information with distributors and employees, communicate effectively with customers and agents, and help claims adjusters transfer files to turn around claims - all in real time.
Financial Advisor September 2007 Joel Bruckenstein	File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.