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Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
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 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.
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.
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.
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.
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.
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.
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.
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 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.
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.
FAO Today Mar/Apr 2008 Peggy Cope	Department Compliance: Are You Desperately Seeking Compliance? New weapons are available in the war to keep companies on the right side of a host of regulations.
Wall Street & Technology May 20, 2008 Cory Levine	Capgemini Partners With Teradata to Create Compliance and Operations Platform The new platform will enable holistic regulatory reporting and monitoring of trade status issues.
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.
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 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 28, 2005 Kathryn Tuggle	Roney Joins Rosenblatt Securities As a vice president and chief compliance officer, Roney's new duties include financial and operational tasks as well as compliance and regulatory oversight.
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.
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.
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.
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.
CRM August 4, 2010 Bill McCarthy	The Fuse Is Already Lit How to keep Do-Not-Contact compliance risk from blowing up in your face.
Wall Street & Technology June 23, 2008 Cory Levine	SunGard Introduces New Compliance Module Within Asset Arena Asset Arena Compliance improves compliance workflow and data management from the front to the back office.
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.
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.
Information Today October 6, 2015	Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company.
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.
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.
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.
Bank Technology News March 2006 Michael Grebb	Cutting To the Chase New rules under the Home Mortgage Disclosure Act require lenders to collect and reveal data on a loan applicant's race, sex and income. Institutions must also share how they determine rate spreads for different applicants.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
IndustryWeek December 1, 2006 John Teresko	Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.
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.
OCC Bulletin December 14, 2005	Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations.
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.
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 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 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 22, 2005 Maria Santos	Different Sides of Compliance Compliance experts from both the buy side and sell side share their firms' top priorities for 2005 and technology's role in achieving them.
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.
Wall Street & Technology June 22, 2004 Jim Middlemiss	Taking AML to the Next Level Investment-management firms are beginning to leverage anti-money laundering technology for more than anti-money laundering.
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.
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.
Bank Systems & Technology March 27, 2008 Cory Levine	Compliance Costs Continue to Rise Compliance costs are eating up more and more of firms' net income.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
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.
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 May 28, 2008 Nathan Conz	Compliance Becoming Key Component of Core Systems As insurers strive to holistically align their compliance cultures with day-to-day operations, a similar trend is emerging strictly within the technology realm.
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.