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Wall Street & Technology January 24, 2006 Cory Levine	A New View of Risk Only now are financial firms approaching the risk associated with their technology infrastructures as a business-critical initiative with substantial bottom-line implications and devoting greater resources to their maintenance.
Bank Technology News May 1, 2008 Avid Modjtabai	The Intersection of Compliance and Risk Management As businesses develop risk-management initiatives, they should keep the following points in mind.
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 26, 2004	Viewing SOX Holistically It's a good thing that the Sarbanes-Oxley Section 404 deadline has been extended, as many on Wall Street weren't quite ready for the June 15 mandate.
Wall Street & Technology September 21, 2004 Paul Allen	Basel II: Coming to America Now that the Basel II Accord will apply to the U.S. securities industry, some firms are playing catch-up.
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.
Wall Street & Technology February 12, 2004 Jessica Pallay	Suiting Up For SOX The Sarbanes-Oxley Act has CIOs struggling to find technology that will support tighter financial controls and processes.
Bank Technology News May 2007	The Six Regulatory Areas That Are Altering Bank Life Regulation is a part of bank life. Failure to comply shouldn't be.
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.
Bank Systems & Technology August 30, 2005 Phil Britt	Comprehensive Controls The better control a bank has on its risk exposure, the better its opportunity for profitability. Still, many financial institutions continue to struggle to establish enterprisewide risk management controls that provide a true picture of risk across the organization.
U.S. Banker March 2008 John Adams	The Complex Role Of CRO Is Reexamined Amid a sea of bad earnings and writedowns, banks are reexamining their risk-mitigation strategies.
CFO June 1, 2003 Russ Banham	Fear Factor Sarbanes-Oxley offers one more reason to tackle enterprise risk management. Although the act doesn't say anything about better risk management, more robust risk-reporting would seem to provide more assurance to anxious audit committees, and to CEOs and CFOs who must now certify financial statements.
Wall Street & Technology November 29, 2004	Trends & Highlights Insourcing Isn't In... Not All Risks Are Created Equal... COSO Tackles ERM... JPMorgan Ramps Up Analytic Team... etc.
Wall Street & Technology August 27, 2004	Up Front Fraudsters Go Phishing... Things Are Looking Up... SOX on the Brain...
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.
Wall Street & Technology May 25, 2005 Maria Santos	Risky Business By formally introducing operational risk into risk management and capital calculation, Basel II is moving top-tier financial institutions to clearly identify, measure and report information related to operational risk.
Finance & Development December 1, 2008 Noel Sacasa	Preventing Future Crises The financial crisis has exposed weaknesses in the current regulatory and supervisory frameworks and made it clear that we are in need of regulatory reform.
CIO May 15, 2002 Eric Berkman	How to Use Balanced Scorecard You can't tell when you're winning if you don't keep score. The Balanced Scorecard helps track your company's strategic hits and misses...
Wall Street & Technology June 28, 2005 Maria Santos	The Shift to Holistic Compliance As U.S. financial institutions feel the burden of complying with a multitude of regulations, forward-thinking firms are examining ways to use their existing technology for more than one compliance initiative.
Bank Systems & Technology May 24, 2007 Nancy Feig	Banks Make Headway Towards Basel II While international banks have made considerable progress toward complying with the provisions of Basel II, US banks still are waiting for the final rules. But that isn't keeping them from reexamining their risk management technologies.
Wall Street & Technology August 22, 2005 Larry Tabb	Redefining Risk Compliance, continuity, and data and physical security will be the business and enterprise technology issues of the next decade or more.
Wall Street & Technology November 17, 2003 Jim Middlemiss	A Risky Operation A wave of new regulations is forcing investment-management firms to focus on reducing their operational risk.
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.
CFO April 1, 2011 Russ Banham	Disaster Averted? A torrent of bad news for business may be good news for enterprise risk management, as businesses look to prepare for "black swans."
CFO March 1, 2010	Web-Based Whistle-Blowing? A new website asks employees of publicly traded companies to anonymously divulge the questionable business practices of their employers... Fraud at Koss Corp. should have been easily detected... Why banks aren't lending to small businesses... etc.
CFO November 1, 2011 Sarah Johnson	Very Big, Yet Hard to See More companies are incorporating strategic risk management into their broader risk programs.
HBS Working Knowledge August 30, 2004 Robert S. Kaplan	Mapping Your Board's Effectiveness To be effective, board members must understand their company's strategy. This Harvard professor offers methods for using the Balanced Scorecard and strategy maps to increase board power.
Bank Systems & Technology October 28, 2004 Cristina McEachern	Cancellation of JPMC-IBM Deal Not the Start of Trend The financial services industry will likely continue to increase its outsourcing to third-party providers in the U.S. and abroad.
Wall Street & Technology July 19, 2006	Credit Infrastructure Transformation, Credit Flow Trading and Securitized Products Trading in the Queue for JPMorgan Investment Bank CIO Michael Ashworth directs the firm's attention to a credit infrastructure transformation through a complete re-engineering of the credit risk department.
Bank Technology News July 2010 Todd Cooper	Risk Culture's Driven by IT Investing in sound risk management practices and a technology offering to support them leads financial service organizations to a healthier bottom line, a solid reputation and a strong competitive position in the marketplace.
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.
CFO October 1, 2007 Rob Garver	One Nation, Left Behind The race to cut compliance-based capital has begun, and U.S. banks are trailing the pack -- badly.
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.
Global Services January 28, 2008	The Future of Risk Over a decade where IT systems became critical to every aspect of business, identifying and managing IT risks - once a minor component of operational risk - has emerged as a significant challenge.
Bank Technology News August 2008 DiCristofaro & Kelly	What's Driving IT Spend For Basel II The financial industry's largest banks and broker-dealers have faced considerable challenges in their efforts to improve financial risk management and satisfy evolving regulatory requirements generated by the Basel II Capital Accord.
The Motley Fool February 4, 2009 Alex Dumortier	Will Obama Succeed Where Shareholders Have Failed? Delving beyond the headlines.
CRM November 30, 2010 Juan Martinez	Is Social Media ROI for Real? The ROI of Social Media Marketing: Forrester Research has developed a social media marketing scorecard that could end the ROI dilemma.
Financial Advisor September 2009 David Lawrence	Costly Mistakes As financial advisors create their own team practices or go independent and set up independent RIA firms, one of the biggest challenges they face is designing a compensation plan for themselves and those who work with them and for them.
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.
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.
Finance & Development December 1, 2000 Cem Karacadag & Michael W. Taylor	Toward a New Global Banking Standard: The Basel Committee's Proposals The Basel Committee's new capital framework proposals will have important implications for developed and developing countries alike. Although many details remain to be worked out, it is not too early for countries to start preparing for the proposals' implementation.
IndustryWeek February 1, 2006 Jill Jusko	Sarbanes-Oxley: Private Opportunity In Public Regulation With an eye toward the future, some closely held firms voluntarily adopt Sarbanes-Oxley Act principles.
CFO January 1, 2009 Kate Plourd	Rethinking Risk Companies have never been more motivated to revisit risk management, but improvements will come slowly.
CIO March 15, 2003 Christopher Lindquist	Three Questions with Robert Kaplan How does a "traditional" valuation methodology such as the Balanced Scorecard stand up to today's intense focus on financials? Its cocreator shares his thoughts on the state of the Scorecard.
The Motley Fool December 27, 2011 Dan Caplinger	A Year to Forget for JPMorgan Chase Let's look back at how the year went for this company.
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.
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.
T.H.E. Journal January 8, 2010 Geoffrey H. Fletcher	Building A Better CTO Reaching out to other departments and understanding what they want to accomplish, and helping them understand how technology can help, should be a part of every technology leader's job no matter what the level.
CIO June 1, 2005 Levinson & Pastore	Seeing Is Believing Three case studies demonstrate how service-level agreements, chargeback and the Balanced Scorecard help create transparency and better align IT with the business.