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U.S. Banker January 2005 Karen Krebsbach	The Compliance Officer Rises to the C-Suite Who's the most valuable person in your bank? Today that lofty designation most likely belongs to the compliance officer, and his growing clout is prompting salary spikes.
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 July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
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.
Investment Advisor June 2009 Thomas D. Giachetti	Not Just the CCO While the chief compliance officer (CCO) should be the main player in the compliance review process, whenever possible at least one other firm officer be involved.
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 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.
CFO September 1, 2003 Alix Nyberg	Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see.
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
CFO July 1, 2007 Scott Leibs	Five Years and Accounting This story is Part 1 in a three-part series on how corporate finance has changed since the Sarbanes-Oxley Act was passed.
Wall Street & Technology October 27, 2005	Self-Service Compliance With Certus Software's Governance360, companies can include key compliance information - such as control data, summaries, reports and near real-time alerts - in a financial management portal.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
The Motley Fool December 1, 2004 Rich Duprey	Gee, Thanks: More Time in the Maze Companies under $700 million market cap get Sarbanes-Oxley filing extension.
CIO July 1, 2004 Christopher Koch	The Sarbox Conspiracy Sarbanes-Oxley compliance efforts are eating up CIO time and budgets. Worse, CIOs are being relegated to a purely tactical role. And that may be the CFO's plan.
CFO September 1, 2007 Scott Leibs	One for Three Should governance, risk management, and compliance be tackled as one problem, or is this a classic case of scope creep?
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 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.
CFO May 1, 2007 Alix Nyberg Stuart	Board Battles Even as conflicts between CEOs and directors erupt, finance chiefs can wield influence on both sides.
CFO January 1, 2006 Bob Violino	IT Directions '06 As a new year begins, Sarbox and governance converge -- and new technology takes a holiday. Here are the highlights of an IT consulting firm poll that asked what the big issues for 2006 will be.
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.
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.
CFO November 1, 2003 David M. Katz	Rites of Privacy With the dust settling on Sarbox compliance in the public sector, eyes turn to private companies.
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.
Investment Advisor January 2007 Melanie Waddell	Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University.
InternetNews May 27, 2005 Clint Boulton	Taking The Sarbox Challenge A look at the Sarbanes-Oxley Act of 2002, one of the most demanding and challenging compliance regulations for regulating corporate finances, and how IT factors into it.
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.
Global Services May 8, 2007 Imrana Khan	Compliance Inhibits F&A Outsourcing A recent study finds that the increasing compliance burden of financial execs is the biggest obstacle to finance and accounting outsourcing.
Wall Street & Technology March 19, 2007 Cory Levine	BIDS Brings On Richard Levin as CCO Newly formed alternative trading system BIDS Trading has found its chief compliance officer in Richard Levin, who most recently served as general counsel and CCO for EquiLend Holdings.
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 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.
CFO May 1, 2008 Kate O'Sullivan	Can This Relationship Be Saved? Auditors and CFOs aren't the friends they once were, but they are working out their differences.
CFO March 15, 2006 David M. Katz	A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic.
CFO August 1, 2007 Kate O'Sullivan	The SEC Rules Five years after Sarbanes-Oxley, the SEC is flexing its regulatory muscle as never before.
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 June 16, 2004 Julie Gallagher	Look On the Bright Side Rather than letting the clouds of regulation rain on their operations, insurers that look for compliance's silver lining have an opportunity to improve their business processes.
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.
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.
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 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.
CFO July 15, 2011 Kimberly Blanton	Creating a Culture of Compliance "Tone at the top" is an overused phrase, but if companies want to mitigate fraud senior leaders need to speak up forcefully.
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.
U.S. Banker March 2008 Christopher Myers et al.	SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.
CIO June 13, 2011 Bill Bulkeley	What CFOs Care About Besides Your IT Budget CFOs need to understand more than the costs and financial benefits to adopting cloud and consumer technologies. They're also on the hook to protect against risk
CIO July 15, 2006 Michael Schrage	Visibility for the Board With boards of directors under increased scrutiny by regulators and other entities, CIOs should consider creating a digital dashboard that gives them a view into the key performance indicators of the business.
Wall Street & Technology February 15, 2007 Cory Levine	Paisley Consulting Released Its Enterprise GRC Platform To help firms break down the barriers between audit, risk and compliance groups, Paisley Consulting released its Enterprise GRC (governance, risk and compliance) platform.
Real Estate Portfolio Jul/Aug 2002 Kenneth L. Betts	Avoiding Enron: Counseling the Audit Committee In general, the role of the audit committee is to review the financial operations and statements of a company and to affirm the integrity and accuracy of the preparation and dissemination of that information. Now audit committees need closer observation, support and liability protection.
CFO January 30, 2004 Scott Leibs	New Terrain Post-Enron reforms have made dramatic alterations to the landscape of corporate governance. Boards, their committees, and internal auditors now have greater responsibilities and powers. How will these reforms change the CFO's job?
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.
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.
CFO May 8, 2006 Elaine Appleton Grant	Flirting with Disaster Recovery There are plenty of good reasons to develop a business-continuity plan, but is Sarbox one of them?