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Insurance & Technology August 26, 2004 Johannah Rodgers	The Next Generation Numbers Game Increasing sensitivity to compliance and cost issues is resulting in a renewed focus on back-end systems for insurance carriers.
Bank Systems & Technology January 6, 2009 Eric Bozich	2009 Bank Tech Forecast: Invest in the Network to Drive Growth Considering the unprecedented challenges that hit the financial industry this year, it's more important than ever for firms to set the right 2009 IT priorities that can positively impact business goals and results.
Wall Street & Technology January 25, 2010 Penny Crosman	10 Trends That Are Reshaping the Wall Street Back Office Here are 10 developments that are reshaping Wall Street's operations departments and the technology they use.
Wall Street & Technology February 4, 2005	Hail to The Chiefs Hot new banking industry job titles for 2005... Procedures key to e-doc compliance... The term e-commerce no longer taboo.... Get projects off to the right start in '05... 2005 brokerage challenges... Business drivers for 2004-2005... etc.
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 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.
Wall Street & Technology November 17, 2003	Does Integrated Portfolio Management = Operational-Risk Management? Vendors across the market are converging to create integrated decision-support tools.
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 March 14, 2008	Credit Crisis Places IT Budgets in Question (Again) The subprime mortgage mess and credit crunch are impacting financial firms' IT budgets in different ways. But if the multi-billion dollar write-downs continue, one thing is for sure: technology budgets will be in flux for the remainder of the year.
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 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 May 20, 2008 Cory Levine	Capgemini Partners With Teradata to Create Compliance and Operations Platform The new platform will enable holistic regulatory reporting and monitoring of trade status issues.
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?
FAO Today Mar/Apr 2008 Peggy Cope	Department Compliance: Are You Desperately Seeking Compliance? New weapons are available in the war to keep companies on the right side of a host of regulations.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Wall Street & Technology January 6, 2006 Leslie Kramer	CIO Challenge: IT Portfolio Management CIOs at financial services firms constantly are looking for ways to run their IT departments more efficiently. But figuring out a way to measure the benefits of IT portfolio management is not always obvious.
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.
Bank Technology News September 2010 John Adams	Ready or Not: The IT Challenges of Dodd-Frank Following the new rules means creating a new kind of IT department, one which deploys and manages platforms for quicker response and enables the bank to prove its fiscal fitness.
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.
Insurance & Technology February 8, 2004 Anthony O'Donnell	2004 Business Technology Forecast What are the critical trends and issues that will confront insurance technology executives and their organizations in the coming year?
Wall Street & Technology March 18, 2008 Cory Levine	Lack of Standardization in Data, Reporting to Hinder Basel II Compliance Lack of standardization in the reporting process will be a major hurdle for financial institutions in complying with Basel II requirements.
Wall Street & Technology August 22, 2005 Atul Seth	Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
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.
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.
Wall Street & Technology July 26, 2004 Jessica Pallay	Buying Into Risk Management Portfolio managers reduce risky business by perfecting risk management in the front office.
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.
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.
Insurance & Technology August 10, 2006 Maria Woehr	Compliance Automation Responding to growing pressure on insurers to comply with federal regulations such as Sarbanes-Oxley, the Gramm-Leach-Bliley Act, the Federal Information Act and HIPAA, ControlPath launched ControlPath Compliance Suite 3.0.
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.
CIO October 11, 2012 Elizabeth Heichler	5 Things You Need to Know About Risk Management Risk is everywhere and if you're just trying to minimize it within IT, you're taking an additional risk. Follow these tips and learn how to take an intelligent approach to risk management.
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 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.
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.
Wall Street & Technology June 4, 2004 Jessica Pallay	Fund Fixes Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers.
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.
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.
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.
Wall Street & Technology November 23, 2009 Ivy Schmerken	New Regulatory Requirements Require Data On-Demand With a plethora of proposed regulations in the pipeline, financial services firms are facing more strenuous audits and data reporting requirements that could result in penalties if firms get them wrong.
CIO May 1, 2003 Lorraine Cosgrove Ware	Manage IT as a Portfolio Portfolio management compares technology investments in terms of risk and payoff to the business and then helps you prioritize investments accordingly. Survey results show that CIOs who practice IT portfolio management get a higher value from their IT dollars.
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 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 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 October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
Wall Street & Technology January 5, 2007	IM Invasion A new TowerGroup research note explores the pervasiveness of instant messaging in securities firms and discusses the reasons behind its popularity.
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 June 22, 2009 Melanie Rodier	The Urgency and High Price of New Cost Basis Reporting Law Even while many financial firms are unaware of new cost basis reporting requirements, the deadline for compliance is fast approaching -- and the cost to comply won't be cheap.
Wall Street & Technology February 14, 2006 Leslie Kramer	CIO Challenge Business continuity planning has been on the top of most financial services firms' agendas since Sept. 11, 2001. However, recent fears about an Avian flu epidemic and other possible disasters have some firms revisiting those plans.
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 Systems & Technology June 18, 2009 Maria Bruno-Britz	The Financial Industry Reacts to Obama Regulatory Proposal Although most agree with the general principles outlined in the President's financial reform plan, they find several sticking points -- and IT won't be immune.