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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.
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.
Insurance & Technology February 8, 2004	Auditing Technology from ACL Services ACL Services Ltd., a provider of audit and data analysis technology to financial executives and audit professionals, has launched the Continuous Controls Monitoring solution suite.
Wall Street & Technology December 19, 2007 Cory Levine	MyComplianceOffice Provides Proof of Compliance by Auditing Activities The compliance management solution promises to make the monitoring of compliance programs more efficient for wealth managers.
Wall Street & Technology July 1, 2005 Maria Santos	HP Eases Compliance Monitoring To provide CIOs with a solution for automated monitoring and reporting of compliance controls, Hewlett-Packard released OpenView Compliance Manager. The solution analyzes, compiles and reports compliance and IT risk information in a centralized dashboard view.
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 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.
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 2, 2004 Jessica Pallay	InfoStep Stands Up to Sox Still stumped by Sarbanes Oxley? InfoStep has released eLustroHarmony, a risk-management and compliance tool to help get firms on track with SOX.
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.
Managed Care January 2001 Mark D. Abruzzo	When Claims Are Audited, Following Compliance Laws Matters Ever since the government intensified its efforts to crack down on medical fraud, and asked the health care community to assist, compliance and compliance planning are the buzzwords. Unfortunately, compliance efforts are often misguided and can put the practice in an awkward position...
Wall Street & Technology March 1, 2004	Institutions Find it Tough to Meet Sarbox Deadline As the first deadline for Sarbanes-Oxley compliance of June 15 nears, financial-institutions are finding that complying is more difficult than they had anticipated
InternetNews May 20, 2009 Alex Goldman	CA Compliance Software Reaches the Mainframe While humans may find mainframes opaque, CA says its software sees everything there.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
InternetNews July 26, 2010	Tripwire Enterprise 8.0 Automates Compliance Enhancements in Tripwire Enterprise 8.0 automate compliance and repair of configuration errors.
CFO December 1, 2004 Kate O'Sullivan	Laying Down the Law By naming compliance officers, companies are putting new focus on regulatory issues -- and giving CFOs a break.
Wall Street & Technology August 22, 2005 Maria Wakem	Macgregor Proves Compliance Boston-based Macgregor's latest compliance control and reporting solution, XIP Enterprise Compliance, eases the burden of proving to the SEC that firms have the proper controls in place.
Wall Street & Technology March 21, 2006 Cory Levine	3 Keys to Effective AML An expert offers anti-money laundering advice to financial firms: 1. Risk Assessment... 2. The Four "Musts" That Are Looked at by Regulators and Law Enforcement... 3. Know Your Customers and Know Your Employees...
Wall Street & Technology April 27, 2005 Sean Chou	Embracing Compliance Many organizations are doing the minimum required for Sarbanes-Oxley compliance, thus creating additional layers of bureaucracy and approvals for audit purposes only.
Bank Systems & Technology April 25, 2008 Gregory J. Calpakis	Knowledgeable Personnel and Flexible AML/CFT Programs Are Banks' First, Best Line of Defense The most important aspect of an effective program for anti-money laundering and combating the financing of terrorism is people. It is critical for an organization to have staff who are knowledgeable and experienced and continuously receive training.
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, 2007 Jane Worthington	Compliance Financial planners and advisors, advertise wisely. SEC examiners regularly find deficiencies in advertisements touting an advisor's performance returns. They recommend routinely using compliance procedures.
Bank Systems & Technology April 28, 2008 Paul L. Lee	Integrating Systems Essential to AML and SAR Compliance To follow regulators' requirements, banks must leverage and coordinate compliance, risk management and IT department efforts.
Insurance & Technology January 26, 2005 Anthony O'Donnell	Database Lockdown To address compliance needs, Waltham, Mass.-based Guardium released software solutions for its SQL Guard database security platform.
CFO July 15, 2009 McCann & Stuart	The 24/7 Audit Some companies are taking a supercharged approach to internal audit: rather than reviewing small samplings of data at regular intervals, they are looking at all of the data, all of the time.
Pharmaceutical Executive January 1, 2013 Ben Comer	Compliance in the C-Suite Compliance officers have risen into pharmaceutical management's highest ranks, by choice in some organizations, and by government decree in others. Either way, their importance as a strategic partner can hardly be understated.
IndustryWeek February 1, 2008 Nick Zubko	Managing the Global Trade-off Manufacturers are trying to simplify their approach to global trade compliance.
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 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.
Entrepreneur November 2006 Laurel Delaney	Ship Shape Web tools make export compliance easy.
Financial Planning November 1, 2009 Donna Mitchell	Year-End Review Here are some questions for registered investment advisers to answer while annually reviewing their policies and procedures.
Wall Street & Technology August 27, 2004 Paul Allen	Custodians Target Compliance Firms that lack the technology, data or manpower to monitor compliance are looking to their custodian services for relief.
Wall Street & Technology June 1, 2007 Melanie Rodier	Lumigent Audit DB 6.0 Provides Single Platform For Data Collection Lumigent Technologies released a new version of its flagship Audit DB product, a database security and compliance system that supports common methods of data collection in a single, unified platform.
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.
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.
Insurance & Technology December 23, 2005	Rethinking Risk Management Many firms have allocated a disproportionate amount of resources to Sarbanes-Oxley compliance, according to a new report.
Wall Street & Technology February 13, 2006 Maria Wakem	Compliance for Less Unlike large financial services firms that have the money and manpower to support compliance systems, small firms face the burdens of meager budgets and skeletal IT staffs that often are already overwhelmed managing multiple projects.
Financial Planning January 5, 2008 Max Mejiborsky	Compliance A string of recent administrative proceedings have revealed that recidivism continues to plague the investment advisor community, despite an increased emphasis on compliance and the SEC's Compliance Programs Rule.
Insurance & Technology November 5, 2008 Jody Westby	Building an Enterprise Security Program Key to Managing Risks Insurance companies are particularly vulnerable to cyber risks because they house so much sensitive data.
Investment Advisor April 2007 Kara P. Stapleton	A Compliance Culture Recent NASD actions have led to increased compliance efforts on the part of many independent broker-dealers.
Wall Street & Technology February 25, 2008 Melanie Rodier	Ineffective Access Management Poses Risk to Businesses A new study shows that the majority of IT professionals view collaboration among business units and audit, compliance and IT security functions as critical to achieving good access management, but most feel it isn't happening.
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.
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.
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.
Pharmaceutical Executive February 1, 2011 Sumit Nijhawan	Worth a Pound of Cure In an era of information overload, continuous monitoring, solutions can prevent your pharma business from losing money and save a few lives along the way
Registered Rep. April 1, 2006 Kristen French	Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues.
National Real Estate Investor May 1, 2003 Kenneth F. Schwendeman	On-site Examination An effective way to reduce the risk in acquiring a property and gain negotiating leverage is to include a compliance audit in the due diligence process.
IndustryWeek August 1, 2008	Software License Compliance: By The Numbers Most IT executives believe their companies would fail a software audit.
Pharmaceutical Executive October 1, 2005 Andy Bender	Orchestrating Compliance Product managers at pharmaceuticals are not always happy to see their compliance officers. That may be changing.
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.