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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.
Wall Street & Technology January 4, 2004	Do Not Call Compliance Each infraction, that's one sales call to a number listed on the Do Not Call list, can cost your firm up to $11,000.
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.
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.
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.
Bank Systems & Technology September 23, 2010 Katherine Burger	Wolters Kluwer Financial Services Acquires FRSGlobal The deal creates what the companies say is the world's largest compliance and risk management business focused on financial services.
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.
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.
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.
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.
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.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
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.
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.
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.
On Wall Street April 1, 2011 Bennett Voyles	FINRA Prosecutes More But Collects Less The rise in the number of actions could be related to increased regulatory pressure.
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.
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.
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 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.
InternetNews July 10, 2006 Ed Sutherland	An EU Foot-Dragging Fine For Microsoft? European Commission members are considering plans to increase the $2.51 million daily fine facing Microsoft to $3.8 million, or as much as 5 percent of its average daily profits, according to a Reuters report, which cites anonymous sources.
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.
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 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
IndustryWeek December 1, 2006 John Teresko	Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
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 1, 2005 Martin J. Garvey	Storage Networks: One More Potential Weak Link Before regulatory compliance, nobody got jail time for lost or compromised data or paid millions of dollars in fines. Now, any company can be pulled into court and asked to produce evidence of security procedures or face penalties. So, are compliance regulations forcing companies to re-evaluate their storage-security practices?
IndustryWeek January 1, 2007 John Teresko	PLM Compliance Tips PLM continues to get high marks as a compliance management solution, but it is only a tool and it needs comprehensive backup to meet regulatory objectives.
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.
Wall Street & Technology March 2, 2004 Jessica Pallay	InfoStep Stands Up to Sox Still stumped by Sarbanes Oxley? InfoStep has released eLustroHarmony, a risk-management and compliance tool to help get firms on track with SOX.
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.
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 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.
Insurance & Technology June 16, 2004 Julie Gallagher	Look On the Bright Side Rather than letting the clouds of regulation rain on their operations, insurers that look for compliance's silver lining have an opportunity to improve their business processes.
Bio-IT World February 11, 2005 Judy Hanover	Leveraging IT to Achieve Compliance Budgeting and measuring the success of compliance initiatives is a credibility issue for CIOs.
CRM August 4, 2010 Bill McCarthy	The Fuse Is Already Lit How to keep Do-Not-Contact compliance risk from blowing up in your face.
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.
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.
U.S. Banker January 2005 Karen Krebsbach	The Compliance Officer Rises to the C-Suite Who's the most valuable person in your bank? Today that lofty designation most likely belongs to the compliance officer, and his growing clout is prompting salary spikes.
InternetNews October 4, 2005 Jim Wagner	Symantec Buys Bindview for $209M According to the companies, the joint company will be able to offer its customers either agent-based or agent-less offerings to define, control and sustain IT compliance requirements.
CFO December 1, 2004 Kate O'Sullivan	Laying Down the Law By naming compliance officers, companies are putting new focus on regulatory issues -- and giving CFOs a break.
InternetNews January 19, 2005 Clint Boulton	Sun Solution Manages Compliance Sun Microsystems unveiled a package of hardware, software, and services designed to help enterprises address regulations, such as Sarbanes-Oxley and HIPAA.
Insurance & Technology May 18, 2004 Julie Gallagher	IT Isn't Tapped for Compliance The insurance industry fails to embrace the full business value of IT when it comes to addressing regulatory requirements and instead relies primarily on manual processes and ad hoc measures
IndustryWeek August 1, 2008	Software License Compliance: By The Numbers Most IT executives believe their companies would fail a software audit.
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.
Information Today October 6, 2015	Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company.
InternetNews April 4, 2006 Michael Hickins	SAP Takes Compliance Partner In-House SAP acquired its compliance software partner Virsa for an undisclosed sum and is taking some of its budding product plans for compliance in-house.
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.
Registered Rep. November 21, 2007 Halah Touryalai	SEC Fines At Four-Year Low The fall in fines comes after complaints from Republican commissioners and business groups that say the penalties hurt investors. Meanwhile, Democrats say the heavy fines deter fraud.