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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.
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.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
Bank Systems & Technology November 24, 2008 Peggy Bresnick Kendler	Agiliance Launches RiskVision, IT Risk, Compliance Management Platform San Jose, Calif.-based Agiliance, a provider of governance, risk and compliance software solutions, has launched RiskVision 4.0, a risk and compliance management platform.
Insurance & Technology April 20, 2005 Anthony O'Donnell	Compliance Sticker Shock In a recent survey, financial services companies have reported higher-than-expected costs in dealing with the demands of Sarbanes-Oxley Section 404 compliance.
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.
Wall Street & Technology February 14, 2006	Hedgies Open Their Wallets A new survey finding reflects the large camp of hedge fund managers that believes new SEC registration rules are only the first step in a broader regulatory framework envisioned by the SEC.
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.
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.
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 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.
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.
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 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 October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
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.
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.
IndustryWeek December 1, 2006 John Teresko	Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.
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.
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.
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.
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.
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.
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.
U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
Insurance & Technology March 18, 2005 Anthony O'Donnell	Hancock Eyes Global Needs Boston-based John Hancock made two appointments to its global compliance team. The carrier named Kevin Cloherty to the new position of VP and chief counsel of global and U.S. compliance and appointed Mitchell Karman to fill the existing position of VP
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.
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.
Wall Street & Technology November 21, 2006	FSIs Care More About Compliance New research out of the Business Performance Management Forum verifies the financial services industry's high prioritization of compliance as a business function.
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.
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.
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 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 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.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Bank Systems & Technology September 23, 2010 Katherine Burger	Wolters Kluwer Financial Services Acquires FRSGlobal The deal creates what the companies say is the world's largest compliance and risk management business focused on financial services.
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 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
Financial Planning October 1, 2006 William Cavell	Compliance Tips Tips for Before and During an SEC Exam
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.
Information Today October 6, 2015	Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company.
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.
Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
InternetNews October 16, 2009	Novell, SAP Partner for Governance, Compliance Software companies promise to bridge gap between business processes and IT security and controls.
InternetNews April 4, 2006 Michael Hickins	SAP Takes Compliance Partner In-House SAP acquired its compliance software partner Virsa for an undisclosed sum and is taking some of its budding product plans for compliance in-house.
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.
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 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.
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.