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Wall Street & Technology November 17, 2003 Ivy Schmerken	Holistic Compliance With a torrent of regulations raining down on them, Wall Street firms are wise to think about developing a global-compliance architecture. But can the chief compliance officer sell the project to senior management?
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.
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.
InternetNews November 16, 2007 Sean Gallagher	White House Ordered to Retain Backups in E-Mail Case Corporate America isn't alone in facing scrutiny over data archiving policies. A federal court has issued a temporary restraining order against the White House, preventing it from destroying backup tapes that may include copies of millions of deleted e-mails.
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.
Wall Street & Technology August 22, 2005 Maria Wakem	Lines of Communication Technology has played a crucial role in speeding up the search and retrieval process, most firms still are looking for ways to improve their current systems to facilitate search across communications channels.
Wall Street & Technology February 12, 2004 Anthony Guerra	Learning to Manage the Message As instant messaging becomes a favorite among Wall Street traders, it also garners the attention of industry regulators.
Registered Rep. December 4, 2002 Ross Tucker	Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations.
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.
InternetNews January 18, 2008 Judy Mottl	E-mail Scandal Drives Storage Lesson Home Poor e-mail retention policies can put companies at risk and land them in court.
Bank Technology News August 2006 Rebecca Sausner	Email Archives: Navigating Storage Can Be a Minefield When it comes to electronic communications retention and disposal, there's lots of choices-each with its own benefits and flaws. The best place to start may be with an audit.
Wall Street & Technology February 12, 2004	Outlook 2004: Compliance Tops the Charts Never before has Wall Street faced so many new regulations with major technology implications.
Bank Technology News January 2004 Karen Krebsbach	IM Regs Loom For Wall Streeters Until the SEC acts, firms will follow NASD guidelines on instant messaging.
Wall Street & Technology June 13, 2006 James Santangelo	Prioritizing E-Discovery This article examines the dilemma of the opposing business needs of company directives seeking to reduce the costs associated with producing information for litigation purposes versus retaining business records for compliance and knowledge-management purposes.
InternetNews March 16, 2004 Clint Boulton	Permabit Wants to Make its Mark on Storage Startup finds niche in storage in a time when meeting new government regulations like Sarbanes-Oxley is top priority for most enterprises.
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 15, 2007 Cory Levine	Trial and Error: When It Comes to Compliance, the Bare Minimum Isn't Enough Anymore How one financial firm's CCO dumped two e-mail archiving providers before being satisfied with his e-mail compliance.
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.
Bank Systems & Technology December 1, 2006 Nancy Feig	What Banks Don't Know About E-mail Archiving Can Hurt Them Overflowing e-mail in-boxes are more than just annoyances -- now, they're also liabilities. Financial institutions increasingly are being judged on the way they manage their e-mail, and they're getting hit hard if they're found to be doing it the wrong way.
InternetNews January 20, 2005 Clint Boulton	StorageTek Readies Compliance Appliance Helping firms ferret out files is the name of the game for StorageTek's new compliance machine.
Wall Street & Technology November 19, 2007 Melanie Rodier	Financial Services Outperform Other Industries in Records Management The financial services industry is doing a better job managing records than other industries, largely due to strict regulations.
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.
T.H.E. Journal April 2009 Charlene O'Hanlon	Don't Hit That 'Delete' Button! In response to new federal rules mandating organizations retain their electronic documents, districts are using outside providers to archive their in-house e-mails.
InternetNews March 12, 2008 Judy Mottl	FBI Probe, More Scrutiny Sought Over White House E-mail Watchdog groups want more visibility into lost White House messages and document retention - and are calling on law enforcement and the courts to get it.
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.
Entrepreneur March 2008 Amanda C. Kooser	Storage Smarts Data retention can be a major gray area for growing businesses. Your data is your life-blood, whether it's employee information, customer payment numbers, internal files or the reams of e-mails you send and receive.
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.
InternetNews February 19, 2004 Clint Boulton	IBM Offers Compliance in A Box The company bundles hardware, software and servers in one machine to address compliance issues that call for data to be stored for several years.
Wall Street & Technology September 21, 2006 McDougall & Malykhina	Financial Firms Are Struggling to Manage, Archive and Monitor the Exponentially Growing Volume of Corporate E-mail Many financial firms have been bitten by e-mail compliance woes. Learn how to get control of e-mail before you become the next victim of the e-mail beast.
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.
CFO June 16, 2003 Bob Violino	File Under 'Nightmare' Information overload has acquired a regulatory dimension, forcing senior executives to take notice.
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.
InternetNews February 14, 2005 Clint Boulton	Sun Seeks Secure Collaboration The company hunkers down on securing the e-mail, instant messaging and calendaring tools in its collaboration suite.
Inc. October 2005 John Fried	The Secrets of E-mail Stash You may have to save e-mail to be in compliance with the law, and you will definitely want to save e-mail for business and HR reasons. Here are some options for storage and retrieval.
InternetNews November 12, 2004 Sean Michael Kerner	SOX Deadline Arrives After months of preparation and trepidation, Sarbanes-Oxley arrives Monday for U.S. publicly traded companies.
Wall Street & Technology June 22, 2004 Steve Marlin, InformationWeek	Learning to Like Compliance Speakers at InformationWeek Media Network's compliance forum are achieving compliance without disrupting their businesses.
CIO August 15, 2003 Eric Knorr	Taming E-Mail How to keep your message archiving tasks from spinning out of control
InternetNews January 11, 2006 Drew Robb	Can Data Ever Be Deleted? The already colossal global repository of data storage is being overwhelmed by a tidal wave of compliance-related storage demands.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
InternetNews February 25, 2005 Steve Apiki	Sarbanes-Oxley: Driving the Storage Compliance Boom No government or agency regulation has refocused the energies of IT administrators and storage professionals like the Sarbanes-Oxley Act.
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.
Wall Street & Technology March 21, 2006 Cory Levine	Education in Regulation In partnership with the NASD, the U.K.'s University of Reading will offer what is believed to be a first-of-its-kind Master's in Capital Markets, Regulation and Compliance from the University's business school.
Registered Rep. September 1, 2004 Anne Field	The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever.
InternetNews March 8, 2005 Clint Boulton	IBM Launching Search Tools For XML Documents IBM has improved the ability of its content management software to handle XML-based documents.
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.
Bio-IT World January 12, 2004 Steve Lefar	Systematize Your Regulatory Info! Want better protection against regulation breaches? Build a system that engenders 'grassroots' compliance.
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.
InternetNews October 20, 2004 Clint Boulton	IBM Spruces Up Compliance Taking advantage of compliance regulations to pursue new revenue streams, IBM said it has created a new storage device and software packages to make it easier for businesses to meet record retention policies.
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.