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Military & Aerospace Electronics August 2009 John McHale	ITAR Compliance: Ignorance is no Excuse Navigating the labyrinth of export compliance is difficult for many companies regardless of their size. Those who fail to be vigilant may face hefty fines and criminal charges as well as see their businesses fail.
Military & Aerospace Electronics January 2008 Scott Grossman	ITAR -- Making the Commitment to Excellence It takes a certain level of commitment from company leadership to abide to the set of regulations that govern the export and re-export of certain controlled commodities, services, and technologies.
National Defense September 2010 Bombach & Jack	Contractors Must Take Ownership of Export Control Compliance A recent change to the Defense Federal Acquisition Regulation Supplement provides an important reminder that all Defense Department contractors and subcontractors must implement effective export controls compliance programs to meet government contracting requirements.
IndustryWeek August 1, 2008 David Blanchard	Portrait of Best-in-Class Global Trade Compliance Trade compliance is taking on more prominence in separating the best companies from the also-rans.
Entrepreneur February 2007 Laurel Delaney	Trading Tools Gain an edge by managing global shipments online. These web-based applications can help you do just that.
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.
National Defense January 2016 Thomas B. McVey	Executives: Be Wary of Export Regulations One of the important legal requirements facing defense contractors is compliance with International Traffic in Arms Regulations and export controls.
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.
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.
Wall Street & Technology December 19, 2007 Cory Levine	MyComplianceOffice Provides Proof of Compliance by Auditing Activities The compliance management solution promises to make the monitoring of compliance programs more efficient for wealth managers.
IndustryWeek February 1, 2009 Nick Zubko	Running a Tight Ship JDSU automates export compliance to gain more control over its growing business.
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.
National Defense May 2010 Lawrence P. Farrell Jr.	Administration's Export Reforms Are a Step in the Right Direction President Barack Obama believes the U.S. export control system is rooted in the Cold War era and must be updated to address the threats the nation faces today and in the changing economic and technological landscape.
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.
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.
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.
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.
Entrepreneur July 2006 Laurel Delaney	Export with Ease A free online filing system makes your mandatory paperwork a breeze.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
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.
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.
Bank Systems & Technology September 28, 2005	Boosting the Trade Finance Value Proposition An interview with Paul Simpson, senior vice-president for trade, e-payables and card solutions at JPMorgan Chase's Treasury Services unit on the convergence of finance and logistics.
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 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.
Bank Systems & Technology August 19, 2008 Maria Bruno-Britz	Microsoft and BearingPoint Team to Offer Compliance Solution Microsoft and BearingPoint have collaborated to offer the BearingPoint Enterprise Governance, Risk and Compliance solution for financial institutions.
Wall Street & Technology June 21, 2004	Information Nation The keys to information management compliance
IndustryWeek October 21, 2009 Jonathan Katz	Feds Eye Trade Compliance Violators Manufacturers, be careful! Those valves you shipped overseas may seem harmless to you, but to the federal government it may be considered a security threat and an expensive mistake.
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.
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.
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.
IndustryWeek August 1, 2008	Software License Compliance: By The Numbers Most IT executives believe their companies would fail a software audit.
Bank Systems & Technology March 27, 2008 Cory Levine	Compliance Costs Continue to Rise Compliance costs are eating up more and more of firms' net income.
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.
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.
OCC Bulletin December 14, 2005	Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations.
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 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 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.
CRM July 6, 2012 Otavio Freire	Enabling Social Collaboration with Social Compliance Monitoring, tracking, and reporting for risk management.
Insurance & Technology November 5, 2008 Jody Westby	Building an Enterprise Security Program Key to Managing Risks Insurance companies are particularly vulnerable to cyber risks because they house so much sensitive data.
Bank Technology News January 2007	Leveraging Compliance: Following the Rules Can Really Pay Off Regulation is leading financial institutions to focus more keenly on compliance software. But the technology can also be useful in corporate pursuits like marketing and financial planning.
Bio-IT World January 12, 2004 Anthony Strattner	Regulatory Compliance Follow this program to avoid drug marketing and pricing violations.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
InternetNews May 31, 2005 Tim Gray	EU's Deadline Looms For Software Giant Microsoft says it is working closely with the European Commission on compliance.
Wall Street & Technology March 21, 2006 Cory Levine	Education in Regulation In partnership with the NASD, the U.K.'s University of Reading will offer what is believed to be a first-of-its-kind Master's in Capital Markets, Regulation and Compliance from the University's business school.
Financial Planning June 1, 2011 John J. Bowen, Jr.	Systems for Success The need to truly "wow" your clients with exceptional service and customized attention has never been greater than now. That means it's hugely important to manage your business as effectively as possible.
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.
National Defense December 2006 Shaheen & Geren	Tightening Export Controls Require Industry Awareness U.S. export-control enforcement activities by the Departments of Commerce and State remain on the rise.
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.