Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

Financial Advisor September 2007 Joel Bruckenstein	File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.
Financial Advisor December 2008 Joel Bruckenstein	Beyond Paperless Laserfiche Avante's document management and other features allow advisors to find new ways to structure work flow.
Financial Advisor October 2010 David J. Drucker	Audit Ready This tool should make your SEC audit go more smoothly.
InternetNews April 6, 2004 Ryan Naraine	IBM Targets Regulatory Compliance To support enterprises who struggle to comply with the maze of government regulations for record-keeping, IBM Monday rolled out three new software products to help track and manage internal e-mails and instant messaging conversations.
Financial Advisor May 2009 David Lawrence	Worth The Investment The simple truth is that those advisors boasting an efficient document management system can bring their costs way down over time.
Bank Systems & Technology December 1, 2003 Cynthia Ramsaran	Newer Regulations Keep Banks On Their Toes When it Comes to Content Compliance demands highlight need for enhanced content management strategies.
Investment Advisor February 1, 2011 Dan Skiles	Building an Efficient Document Imaging Strategy The good news regarding document imaging and management is that most advisors are already storing some of their documents electronically. The challenge for advisors is making sure that they have the right system in place for their firm.
CFO June 16, 2003 Bob Violino	File Under 'Nightmare' Information overload has acquired a regulatory dimension, forcing senior executives to take notice.
CIO August 15, 2003 Ben Worthen	NASD Rules Cement Need to Preserve Instant Messages Add saving instant messages to your Sarbanes-Oxley compliance to-do list. Since the Nasdaq this summer joined the New York Stock Exchange in requiring its members to save instant messages, there's a clear precedent for what documents need to be retained under the law.
Financial Planning September 1, 2008 Joel P. Bruckenstein	Going Paperless More financial planners are starting to embrace the idea of using a document management system.
CIO March 15, 2003	Mandate from SEC Regulators: Save Your Electronic Documents The rules take effect Oct. 31, giving CIOs seven months to deploy the capability to save records if they don't already have it. Here are some tips for getting started with a document retention plan that meets the spirit and letter of the law.
Financial Planning October 1, 2008 Jane Worthington	Document Requests Every registered advisor can expect an SEC staff examination and document request. To ease your firm through the process of delivering the documents in a timely manner, it's important to ensure that documents are easily accessible.
Registered Rep. April 1, 2008 Christina Mucciolo	The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry.
Financial Advisor February 2010 Joel P. Bruckenstein	One For The Short List Document management system Image Executive allows advisors to operate more productively, efficiently and securely.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Financial Planning October 1, 2005 Lisa Roth	When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how.
On Wall Street August 1, 2012 Todd Colbeck	Taking Your Office Paperless Are you using a typewriter or PC in the workplace? If you are using a typewriter, you can skip this article. If you are using a PC, it is time to digitize your business.
CIO September 15, 2001 Ian Springsteel	Are You Sure You Want to Save That? At most companies, managing electronic records means backing up everything in case disaster strikes. But that can get you in trouble, too, if you don't know what you're saving and why...
Inc. October 2005 John Fried	The Government's Take on E-mail Regulators have thought up lots of rules governing e-mail. It's your job to figure out which ones cover you.
Financial Planning March 1, 2005 Andrew Miller	You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
InternetNews January 6, 2009 Drew Robb	Obama, Dems Could Mean New Compliance Regs The global financial meltdown and Democratic control of the White House and Congress will likely mean new corporate accountability regulations - and more work for storage administrators.
Pharmaceutical Executive July 1, 2005 Patrick Clinton	The Single Source of Truth The regulatory load thrust upon pharma's shoulders in recent years has made compliance solutions a top budget priority for IT executives, and sent technology suppliers on a mission to uncover for pharma companies.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
InternetNews November 17, 2006 Andy Patrizio	Adobe Right Management Server Extends to Office Adobe Systems has released LiveCycle Policy Server 7.2, an update to its enterprise rights management software that adds fine-grain encryption and protection to document files.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Registered Rep. March 1, 2008	Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Insurance & Technology July 12, 2006 Maria Woehr	Scanning Time To streamline Sarbanes-Oxley retention and retrieval requirements-induced document processes, AIM Mutual Insurance partnered with document management software provider Laserfiche.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Registered Rep. March 1, 2008 John Churchill	Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.
Financial Advisor August 2005 David L. Lawrence	E-mail Storage And Retrieval Solutions As most financial advisors know, the Sarbanes-Oxley Act (SOX) and SEC rules on electronic communication have produced new challenges and, potentially, increased operational expenses. Here are some solutions.
FAO Today Nov/Dec 2007 Patrick Queen	Outsourcing Records Management: What Every Organization Needs to Know An enterprise-wide records management program, for paper and electronic records (including e-mail), is essential for sound financial controls.
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.
Financial Advisor March 2010 David Lawrence	A Key To Efficiency Advisors today have many choices when it comes to document management software.
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.
Investment Advisor June 2008 Mark Tibergien	Truth and Consequence Are more regulations for the financial services sector really needed, or just better enforcement of what's now on the book?
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
Financial Planning November 1, 2007 Joel P. Bruckenstein	Laserfiche Intuition Laserfiche is perhaps the most widely recognized name in document management among financial services professionals. Here is a product aimed at the sole practitioner or small firm.
Investment Advisor February 2008 Melanie Waddell	A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Bank Technology News January 2010 John Adams	Stay at Home, Bank Auditor Reliance Bank uses document management software to allow three of its four yearly "hired" audits to be done remotely via a mailed disk containing images of thousands of internal loan documents, saving time and money.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
CFO March 1, 2003 Tim Reason	Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed.
Registered Rep. June 29, 2010 Halah Touryalai	The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level.
Wall Street & Technology November 18, 2005 Maria Wakem	E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
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.
Bio-IT World April 15, 2003 Heller & Philbin	Part 11: The FDA's New View The FDA now has a softer perspective on enforcement, but companies will still have to watch their step.