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Bio-IT World January 12, 2004 Anthony Strattner	Regulatory Compliance Follow this program to avoid drug marketing and pricing violations.
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.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
InternetNews July 26, 2010	Tripwire Enterprise 8.0 Automates Compliance Enhancements in Tripwire Enterprise 8.0 automate compliance and repair of configuration errors.
Information Today October 6, 2015	Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company.
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.
Wall Street & Technology March 21, 2006	Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices.
Bio-IT World January 12, 2004	PDMA Compliance in 12 Steps Prescription Drug Marketing Act violations can cost millions. To save that money, follow this program.
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.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
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.
Managed Care January 2002	1-Year Delay Near In Implementation Of HIPAA Rules It looks like most players in health care -- IT vendors excluded -- will get what they want if a bill delaying the deadline for compliance with the Health Insurance Portability and Accountability Act's electronic claims standards becomes law...
The Motley Fool December 29, 2006	"All Risks" Policies Be on top of your financial situation -- know what you are and aren't protected against on your homeowner's insurance, and make sure you have the coverage you want and need.
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.
Bank Systems & Technology June 1, 2005 Phil Britt	Missed Opportunity Though Sarbanes-Oxley, Basel II and revisions in state and federal banking laws continue to increase the time and cost commitment banks must make for compliance, there are ways to mitigate the burdens of regulatory requirements and even improve operations.
Wall Street & Technology October 28, 2005 Kathryn Tuggle	Roney Joins Rosenblatt Securities As a vice president and chief compliance officer, Roney's new duties include financial and operational tasks as well as compliance and regulatory oversight.
National Defense January 2014 Cannon & Scott	Anti-Bribery Law Demands Vigilance November marked the one-year anniversary of the release of the resource guide to the Foreign Corrupt Practices Act, and should serve to remind all defense contractors of the critical importance of keeping their compliance program current and effective.
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.
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.
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.
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.
IndustryWeek August 1, 2008	Software License Compliance: By The Numbers Most IT executives believe their companies would fail a software audit.
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.
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.
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.
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.
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 November 1, 2007 Mederic Daigneault	Compliance Assessing risk: Begin by considering what services your financial advisory firm provides and to whom.
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 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.
IndustryWeek December 1, 2006 John Teresko	Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.
Entrepreneur November 2006 Laurel Delaney	Ship Shape Web tools make export compliance easy.
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.
Pharmaceutical Executive September 1, 2010	Maintaining a Culture of Compliance In order to sustain compliance it must become a core component of every company's training, sales processes, and incentive programs.
Bank Systems & Technology May 15, 2008 Paula Damiano	Qualys Offers SaaS Risk Management Qualys introduced the QualysGuard Enterprise Security and Compliance Suite, the first integrated Software-as-a-Service solution for risk management.
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.
Insurance & Technology February 2, 2007 Anthony O'Donnell	Culture of Compliance Mark Johnson has been appointed Conseco's chief compliance officer, in which capacity he will oversee related activities across the company's Conseco Insurance Group, Bankers Life and Casualty Co. and Colonial Penn Life Ins. Co. units.
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.
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.
Bank Systems & Technology May 31, 2004 Cynthia Ramsaran	Banks Go Beyond Budgets For Compliance Many financial institutions are overspending by duplicating compliance and disaster recovery efforts.
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.
Bank Systems & Technology March 11, 2004 Cynthia Ramsaran	Compliance Watch Helps Westpac NZ Keep Up with New Regs New system will help bank strengthen AML processes
Wall Street & Technology August 22, 2005 Maria Wakem	Macgregor Proves Compliance Boston-based Macgregor's latest compliance control and reporting solution, XIP Enterprise Compliance, eases the burden of proving to the SEC that firms have the proper controls in place.
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.
The Motley Fool July 19, 2005 Stephen D. Simpson	Sarbanes Pain Is Resources Connection's Gain Greater demand for compliance assistance has boosted this financial-services firm. Keep their stock on your watch list.
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
Wall Street & Technology October 26, 2005 Katherine Heires	By the Dashboard Light As regulatory concerns persist, many financial firms are turning to dashboard technology to simplify compliance initiatives. Here are 12 key questions to ask before starting a compliance dashboard project.
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.
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 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.