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Insurance & Technology March 2, 2006 Maria Woehr	Risky Business Executives lack a high degree of confidence in their organizations' risk management capabilities, according to a Protiviti survey of more than 75 C-level executives from U.S.-based Fortune 1,000 companies.
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.
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.
Insurance & Technology November 5, 2008 Peggy Bresnick Kendler	Virtual Roundtable: Online Risk Industry experts discuss how to manage the risks, liabilities, and solutions associated with electronic processes and interactions related to conducting business over the Internet.
Inc. September 2008	CEO Survey: Going Long Nineteen percent of CEOs say they take more risks now than they did when starting out; 30 percent take fewer risks. Below, they explain their approaches to betting the farm.
Financial Planning November 1, 2007 Mederic Daigneault	Compliance Assessing risk: Begin by considering what services your financial advisory firm provides and to whom.
CFO June 1, 2003 Russ Banham	Fear Factor Sarbanes-Oxley offers one more reason to tackle enterprise risk management. Although the act doesn't say anything about better risk management, more robust risk-reporting would seem to provide more assurance to anxious audit committees, and to CEOs and CFOs who must now certify financial statements.
IndustryWeek March 16, 2011 Ebert et al.	Managing Regulatory Challenges in a Global Marketplace Meeting requirements in emerging markets makes regulatory compliance an increasingly difficult issue for manufacturers. A new study sheds light on the challenges and how leading companies are meeting them.
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 November 17, 2009 Maria Bruno-Britz	IT Execs Fear Retribution From Former Employees Ernst & Young's latest information security survey shows that senior IT executives feel their systems will need to be better monitored against attack from ex-employees.
Wall Street & Technology January 22, 2008 Sabatini & Smirnoff	Trade Reporting, Surveillance Key To Compliance With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment.
Wall Street & Technology April 26, 2007	Playing With Fire? Current risk management in financial services does not deliver the business value executives expect, according to a survey.
Search Engine Watch April 13, 2011 Jacob Morgan	4 Steps for Evaluating Risk in Social Business A guide for organizations on how to understand and assess risks in the social business space.
Wall Street & Technology August 22, 2005 Larry Tabb	Redefining Risk Compliance, continuity, and data and physical security will be the business and enterprise technology issues of the next decade or more.
Bank Technology News January 2006	Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business.
Bank Technology News July 2010 Michael Sisk	Mastering a Mountain of Risk Seeing the unseeable may be impossible, but risk experts contend it is possible to install technology that can sense when risks are getting out of kilter and empower managers to back away from those risks quickly.
CRM July 6, 2012 Otavio Freire	Enabling Social Collaboration with Social Compliance Monitoring, tracking, and reporting for risk management.
CFO April 15, 2012 Alix Stuart	How to Direct a Risk Team CFOs are playing a bigger role in risk management. To succeed, they have to assemble and lead the right cast and crew.
National Defense October 2015 Berry & Hutchens	Creating an Ethics Compliance Program Government agencies and mature prime contractors expect emerging contractors to reflect the same "culture of ethics and compliance" that large companies commit substantial resources to implementing.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
CFO November 1, 2011 Sarah Johnson	Very Big, Yet Hard to See More companies are incorporating strategic risk management into their broader risk programs.
CFO August 1, 2004 Don Durfee	Watch Your Back A number of companies think they have found a way to create better-examined plans -- by formally linking risk management and strategic planning, something risk managers have long advocated.
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.
CFO June 15, 2012 Sarah Johnson	An Emerging Concern CFOs must stay abreast of the number and impact of emerging risks, which are rapidly growing, say experts.
IndustryWeek March 17, 2010 Jill Jusko	Riskier Business Today's uncertain economic climate is driving greater focus on risk management.
Bank Systems & Technology December 29, 2009 Henry Ristuccia	Washington's Regulatory Agenda Will Shape Banks' Risk IT Strategies Now is the time to examine governance, risk and regulatory compliance processes and to get your house in order so that your bank can be ahead of any requirements that may be enacted.
OCC Bulletin May 10, 2004	Risk Management of New, Expanded, or Modified Bank Products and Services The risk management principles in this bulletin outline the expectations of the Office of the Comptroller of the Currency and apply to the introduction of traditional and non-traditional bank products and services, as well as modifications to existing products and services.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
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
CRM January 1, 2007 Pawan Verma	Offshore Call Center Activities By understanding the external and internal risks and by putting in place plans to manage or avoid these risks, companies can successfully offshore call center activities and meet corporate objectives.
AFP eWire February 26, 2013 Laurie Arena Rocha	Three Things Every Fundraising Professional Should Be Prepared for in 2013 These three things include executive compensation, risk management, and the current government debt reduction debate.
IndustryWeek June 17, 2009 Steve Minter	Increase in Global Sourcing Expected Despite Supply Chain Risks Nearly two out of three financial executives expect global sourcing activities at their companies to increase during the next three years, a new study reports, even in the face of significant risks from extended supply chains.
CFO September 15, 2003	IT Directions 2.0 Our annual survey of senior finance executives finds them bullish on the value of IT and prepared to raise budgets accordingly.
Bank Technology News May 1, 2008 Avid Modjtabai	The Intersection of Compliance and Risk Management As businesses develop risk-management initiatives, they should keep the following points in mind.
The Motley Fool June 23, 2010 Selena Maranjian	What's Worrying Microsoft and Amazon Some risks scare companies more than others.
Bank Systems & Technology April 28, 2008 Fredda Ackerman	Data Warehouses Permit a Holistic View of Customers' Activities Financial firms must develop a risk assessment system that provides institutions with an assessment of a customer's risk for money laundering.
The Motley Fool June 2, 2008 Selena Maranjian	When an Earthquake Rocks Your Stock Investors must be keeping cool heads when companies are faced with temporary setbacks.
CFO March 17, 2003 Scott Leibs	Under Pressure Sarbanes-Oxley is just one of many new regulatory requirements companies face. Can IT help?
Bank Technology News July 2010 Todd Cooper	Risk Culture's Driven by IT Investing in sound risk management practices and a technology offering to support them leads financial service organizations to a healthier bottom line, a solid reputation and a strong competitive position in the marketplace.
On Wall Street September 1, 2010 Allan Flader	Why Risk It? Don't judge, just advise. That has always been one of our mantras as we've developed strong relationships with our clients over the years.
CFO July 15, 2010 Celina Rogers	Learning Too Much from History? Companies need to take a more forward-looking approach to risk, a study suggests.
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.
CFO December 1, 2009	A Road Map for Transformation Outsource procurement requires a deep analysis of current practices compared with best practices... Few corporate leaders know how to communicate in a way that inspires their staffs...
IndustryWeek August 18, 2010 Ebert & Natarajan	Quality Equals Risk Management How susceptible is your organization to a quality crisis? Companies are discovering quality is most powerful when it is engaged to prevent defects, not detect and eliminate those that slip through.
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 January 24, 2006 Maria Wakem	Holding the Spending Line Finding ways to control compliance costs has become a high priority for Wall Street CIOs as they realize that more IT dollars diverted toward compliance means fewer IT dollars devoted to clients' needs and company growth.