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Wall Street & Technology April 27, 2004 Ivy Schmerken	Hedging the Risk of Instant Messaging While hedge funds enjoy the simplicity of trading via IM networks, compliance and reliability concerns have them seeking IM products with built-in archival systems.
Registered Rep. August 30, 2012 Lauren Barack	Data Overload The amount of data that financial firms are required to keep is piling up. Storing it is easy. But finding what you need gets harder and harder.
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.
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.
Financial Planning April 1, 2006 Keith Marks	Compliance Tips: Dinner and Broken Promises Now investment firms seek to address risk, meet regulatory expectations, and avoid the next big scandal by monitoring communications.
Registered Rep. December 9, 2003 Will Leitch	Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading.
Wall Street & Technology July 27, 2004 Jessica Pallay	Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering.
Bank Director 3rd Quarter 2010 Charles Keenan	Front-burner Issues for the Audit Committee The audit committee's roles and responsibilities continue to broaden as evolving regulation and increasing demands for risk oversight turn up the heat on bank boards.
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.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
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.
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.
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.
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.
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.
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 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.
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.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
Bank Technology News February 2009 Brian Longe	Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure.
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.
CFO February 1, 2012 Sarah Johnson	Don't Trust, Verify With antibribery actions on the rise, companies should monitor their business partners more closely than ever.
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.
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.
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.
Financial Advisor January 2012 Brian Hamburger	Who Will Start The Revolution? Big firms give "Big Brother" nod to social media.
Financial Planning June 1, 2005 Juliette Fairley	FP50: Angst Over Compliance As financial advisory firms struggle to manage a raft of new regulations, they are banding together to rein in the rule-makers.
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?
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.
National Defense January 2012 David Hickey	Cutting Costs Does Not Require Cutting Compliance Lest anyone think the federal government will tolerate less contractor compliance, the current environment indicates that it is much more likely that the government will pursue allegations of non-compliance, fraud, waste and abuse with even greater vigor.
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 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.
Global Services November 29, 2007	The Future of Regulation Whether offshore or onshore, the confluence of increased regulations and increased outsourcing will result in increasingly intense scrutiny by regulators of outsourcing relationships.
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 June 21, 2004	Information Nation The keys to information management compliance
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.
Insurance & Technology February 19, 2004 Anthony O'Donnell	Compliance as Opportunity Regulatory compliance demands force insurers to dedicate scarce resources, but meeting those demands can be the occasion to accomplish worthwhile IT goals.
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 March 14, 2008 Melanie Rodier	Turquoise Hires Former LSE Compliance Manager Werner Werner says Turquoise wants to set standards in terms of quality of technology and client service, as well as setting the bar for best practices in compliance, surveillance and adherence to regulatory guidance.
Insurance & Technology August 12, 2005 Peggy Bresnick Kendler	The Compliance Challenge Industry experts offer opinions on what the biggest challenges carriers currently face in terms of regulatory compliance.
Bank Director 2nd Quarter 2010 Eugene A. Ludwig	Discerning the New Financial Services Landscape The former U.S. Comptroller of the Currency and vice chairman of Bankers Trust/Deutsche Bank, offers his views on what is likely to come out of upcoming reform legislation as well as areas that are far from clear.
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.
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.
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.
Investment Advisor July 2008 Marlene Y. Satter	One Forward, Two Back? The Department of the Treasury released its Blueprint for a Modernized Financial Regulatory Structure, which sets forth an argument for the need for change in the financial services industry.
Bio-IT World April 15, 2003 Barbara Depompa Reimers	Easing the Pain of Part 11 Costs for complying with FDA electronic records regulations will cost millions of dollars per company by 2006. Risk-based processes can lighten the load.
Wall Street & Technology November 21, 2006 Cory Levine	Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates.
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.
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.
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.