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U.S. Banker January 2010 Rob Garver	No (More) Quarter...Perhaps The SEC says we've seen the last of the reprieves for small companies that have so far avoided complying with the 404(b) provision in the Sarbanes-Oxley Act. Community bankers best hope now is that Congress will step in and give them a permanent exemption.
CFO September 1, 2003 Alix Nyberg	Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see.
The Motley Fool December 1, 2004 Rich Duprey	Gee, Thanks: More Time in the Maze Companies under $700 million market cap get Sarbanes-Oxley filing extension.
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.
U.S. Banker March 2008 Christopher Myers et al.	SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.
Bank Systems & Technology July 5, 2004 Ivan Schneider	SEC to Banks: Selling Securities? Get a License Industry convergence slowed by multiple regulators and accounting system limitations.
U.S. Banker April 2002 Mark Bruno	Broken Affair? Banks, as most companies, have enjoyed close relationships with their accountants for decades, and have been becoming more and more dependent on them for a variety of services, often far removed from auditing their books. Now those relationships are being called into question...
CFO March 15, 2006 David M. Katz	A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic.
Bank Systems & Technology February 27, 2006 Maria Bruno-Britz	Taking SOX to the Next Level It is time for banks to rethink their strategic approaches to Sarbanes-Oxley requirements.
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.
Real Estate Portfolio Jul/Aug 2004 Phillip Britt	The Price of Being Public How small-cap REITs are handling the financial squeeze from Sarbanes-Oxley and other regulations.
InternetNews March 9, 2007 Andy Patrizio	Sarbox: The Blacktop To Financial Hell Sarbanes-Oxley was more of an emotional reaction than reasoned law when it was passed. Now there's enough evidence that it's doing more harm than good.
Wall Street & Technology April 27, 2004 Jessica Pallay	SEC Sets Back SOX Sarbanes-Oxley deadlines are delayed, but firms find little solace in the regulation's extension.
InternetNews December 15, 2006 Roy Mark	SEC Brings Proxies Online Shareholders will soon be able to find proxy statements and annual reports online, according to new voluntary rules approved this week by the Securities and Exchange Commission.
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.
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.
Inc. September 2005 Amy Feldman	Surviving Sarbanes-Oxley A law intended to clean up big public companies has taken its toll on small private ones -- both financially and emotionally. But there may finally be relief in sight.
Bank Technology News May 1, 2008 Michael Grebb	The War to Keep Compliance Talent Financial institutions wade through an ever-deepening regulatory swamp, and therefore an escalating war for compliance talent.
Bank Technology News January 2006	Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business.
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.
Entrepreneur August 2007 Jennifer Pellet	The Land of the Audit-Free Small businesses are being liberated from SOX restrictions. The changes come at a critical time for companies with less than $75 million in market capitalization, which are to begin complying with the management guidance part of SOX during the 2007 audit cycle.
U.S. Banker April 2005 Michael Sisk	Regulations Add Wrinkle to M&A Caveat Emptor is the name of the game more than ever, lest buyers get saddled with the legal troubles of their new firm.
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 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
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.
CFO July 1, 2007 Scott Leibs	Five Years and Accounting This story is Part 1 in a three-part series on how corporate finance has changed since the Sarbanes-Oxley Act was passed.
CIO May 15, 2006 Diann Daniel	Regulation's Silver Lining John Hagerty, vice president of research with AMR, says regulatory mandates have put a new spotlight on IT as a means to mitigate business risk.
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.
Bank Technology News June 2003 Karen Krebsbach	Basel II: Burden Or Opportunity? Savvy banks know the price is worth it: Banks that embrace rather than resist Basel II, the mammoth proposal designed to control operational and credit risk, will claim a greater competitive advantage in the marketplace, say technology analysts.
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.
U.S. Banker August 2005 Karen Krebsbach	The Long Lonely Battle of David E. Welch A tiny Virginia bank and its former CFO are at the center of controversy raging over the new corporate whistleblower provision of the Sarbanes-Oxley law. So much for trying to do the right thing.
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.
Entrepreneur April 2007 David Worrell	Ready to Report It may get a little easier for some small-businesses to play by the Sarbanes-Oxley rules.
Inc. September 2005 Amy Feldman	What Does Sarbanes-Oxley Mean for Companies That Want to Go Public? Companies planning an IPO will face higher audit costs, higher insurance costs, and more regulatory-related duties for its staffers.
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.
Bank Systems & Technology February 22, 2007 Maria Bruno-Britz	Spillenkothen Joins Deloitte's Banking Regulatory Practice The former Fed regulator hopes to help banks gain an enterprise-wide view of compliance in his new role.
Bank Technology News December 2007	Scoring Banks' Compliance With FFIEC Guidelines Compliance with FFIEC guidelines brought out the worst in many bankers. So how did banks do in terms of compliance?
BusinessWeek October 27, 2003 Henry & Borrus	Honesty Is A Pricey Policy Execs are grumbling about the steep costs of complying with new financial controls.
OCC Bulletin October 1, 2001	Uniform Standards for the Electronic Delivery of Disclosures; Regulations M, Z, B, E, and DD The Board has lifted the mandatory compliance date for these rules. National banks may continue to provide electronic disclosures under their existing policies and practices, or may follow the interim rules, until the Board issues permanent rules...
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.
InternetNews August 29, 2005 Jim Wagner	Work Remains for Sarbox Compliance Businesses have a lot of work ahead of them before they're fully compliant with federal data retention and financial reporting rules under the Sarbanes-Oxley Act, a new study concludes.
BusinessWeek December 27, 2004 Amy Borrus	Auditors: The Leash Gets Shorter Providing tax services to audit clients will no longer be allowed.
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 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?
Reason January 2006 Brian Doherty	You Can Be Too Careful How the U.S. government's new corporate accounting rules impede efficiency and stifle innovation.
U.S. Banker May 2007 Lee Conrad	Community Banks Struggle To Know 'Indirect' Clients Indirect channels to customers, particularly check-cashing services, reduce a bank's control of the customer and exposes it to potential money laundering. New products are stepping in to help.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	The Buzz on Basel II Banks leverage enterprise management technologies to get head start on compliance.
National Real Estate Investor October 1, 2005 Ann Weinstein	Sarbanes-Oxley Alters the Playing Field The need to ensure the adequacy of financial controls is fast becoming a competitive necessity for companies that provide services to public companies. Real estate service providers are confronted with this new reality.
The Motley Fool October 13, 2004 Tom Taulli	Nightmare on Sarbanes Street While Sarbanes-Oxley is meant to help shareholders, we are seeing examples of the opposite result. Many small-cap companies have been disproportionately affected by the surging compliance costs of the act.
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.