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OCC Bulletin
May 10, 2004 |
Risk Management of New, Expanded, or Modified Bank Products and Services The risk management principles in this bulletin outline the expectations of the Office of the Comptroller of the Currency and apply to the introduction of traditional and non-traditional bank products and services, as well as modifications to existing products and services.   |
Insurance & Technology
November 5, 2008
Peggy Bresnick Kendler |
Virtual Roundtable: Online Risk Industry experts discuss how to manage the risks, liabilities, and solutions associated with electronic processes and interactions related to conducting business over the Internet. |
U.S. Banker
August 2001
Jack M. Pullara |
Look Before You Leap Account aggregation (such as Yodlee) can be a great product, but there are many pitfalls. So beware. |
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. |
OCC Bulletin
November 1, 2001 |
Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties... |
| OCC Bulletin |
Weblinking The guidance offers risk management tools that would reduce risk to banks from linking arrangements and with third parties, especially reputation and compliance risks. |
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. |
Insurance & Technology
March 16, 2004
Peggy Bresnick-Kendle |
Mobilizing for E-Mail Security Insurers face a myriad of e-mail security issues, from compliance to viruses. Technology is key to the response, whether it's filtering or automating enforcement of corporate policies. |
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 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. |
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. |
HBS Working Knowledge
July 11, 2012
Jay Lorsch |
Book Excerpt: 'The Future of Boards' In an excerpt from "The Future of Boards," the author discusses why directors are newly questioning their roles. |
Bank Technology News
November 2001
David Rountree |
Taking Care of Customer Data A privacy breach in the banking industry may carry ominous legal ramifications, but they pale in comparison to the effects of a blown reputation... |
OCC Bulletin
February 28, 2001 |
Bank-Provided Account Aggregation Services This bulletin discusses the risks of bank-provided account aggregation services, and suggests control mechanisms banks should consider when they offer aggregation services. |
National Defense
February 2014
Jay B. Stephens |
Companies Need Sound Governance In publicly-traded aerospace and defense companies, strong internal controls in an organization -- especially in business units far from the mother ship -- are essential to transparency and process fidelity. |
OCC Bulletin
May 15, 2002 |
Bank Use of Foreign-Based Third-Party Service Providers This bulletin provides guidance to national banks on managing the risks that may arise from their outsourcing relationships with foreign-based third-party service providers... |
InternetNews
December 7, 2009 |
Oracle Enhances Risk, Compliance Offerings GRC gets some new duties in Oracle's latest update to its enterprise governance, risk and compliance management suite |
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. |
Commercial Investment Real Estate
Sep/Oct 2015
Alan Lyons |
Cyber Scares Protect your real estate business from online security breaches. |
Bank Systems & Technology
March 5, 2010
Penny Crosman |
Most Banks Lack Key Data Privacy, Security Controls A Ponemon Institute study finds that while most financial services firms take some steps toward data security, many come up short in critical areas. |
Wall Street & Technology
February 25, 2008
Melanie Rodier |
Ineffective Access Management Poses Risk to Businesses A new study shows that the majority of IT professionals view collaboration among business units and audit, compliance and IT security functions as critical to achieving good access management, but most feel it isn't happening. |
CIO
December 11, 2008
Jarina D'Auria |
Achieving Compliance As economic tough times continue, there's one thing companies can count on: more regulations. So, should you buy a GRC tool or leverage existing applications? A company's size and the scope of its operations can help guide that decision. |
CIO
April 25, 2014
Lucian Constantin |
5 Things You Need to Know About Cybersecurity Insurance Cybersecurity insurance transfers some of the financial risk of a security breach to the insurer. But it doesn't do a good job of covering the reputation damage and business downturn that can be triggered by a security breach. |
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
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. |
CFO
June 15, 2012
Sarah Johnson |
Do Your Internal Auditors Have the Right Skills? Companies are putting a premium on critical thinking and data-mining expertise. |
CRM
January 1, 2007
Pawan Verma |
Offshore Call Center Activities By understanding the external and internal risks and by putting in place plans to manage or avoid these risks, companies can successfully offshore call center activities and meet corporate objectives. |
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. |
Insurance & Technology
April 20, 2005
Anthony O'Donnell |
Gray Shares Perspective Kimberly Gray, chief privacy officer of Highmark, brings a special perspective of the health insurance industry to the International Association of Privacy Professionals. |
Inc.
April 2007
Dan Briody |
Full Coverage How to hedge your cyber risk with insurance. |
Wall Street & Technology
March 2, 2004
Brendon Lynch |
Web-Privacy Management Increases in Importance An organization's reputation is increasingly at risk online. Financial-services firms, in particular, are constantly updating their Web sites to provide readily accessible information, services and products to their customers and provide a high degree of visibility for the company and its brands.. |
National Defense
October 2015
Berry & Hutchens |
Creating an Ethics Compliance Program Government agencies and mature prime contractors expect emerging contractors to reflect the same "culture of ethics and compliance" that large companies commit substantial resources to implementing. |
Financial Planning
November 1, 2007
Mederic Daigneault |
Compliance Assessing risk: Begin by considering what services your financial advisory firm provides and to whom. |
CFO
November 17, 2003
John Verity |
Risk Management Although the term itself risks overuse and confusion, "risk managment" may provide a way to improve internal controls. |
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. |
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. |
CIO
June 13, 2011
Bill Bulkeley |
What CFOs Care About Besides Your IT Budget CFOs need to understand more than the costs and financial benefits to adopting cloud and consumer technologies. They're also on the hook to protect against risk |
The Motley Fool
October 19, 2004 |
"All Risks" Policies Don't be surprised by what is -- and isn't -- covered in your homeowner's policy. |
Wall Street & Technology
June 21, 2004 |
Information Nation The keys to information management compliance |
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. |
Insurance & Technology
November 5, 2008
Prasad Balakrishnan |
Cyber Attacks Can Come in Many Shapes and Sizes Cyber threats aimed at insurance companies are constantly evolving and growing. Unfortunately the pace of adoption of cyber protection mechanisms has not caught up. |
CFO
February 1, 2005
John Goff |
Looking for Gaps The latest generation of compliance software promises to do more to ease the burden of internal controls assessment. |
OCC Bulletin
October 27, 2004 |
FFIEC Guidance The Federal Financial Institutions Examination Council has released the attached guidance, "Risk Management for the Use of Free and Open Source Software." |
Financial Planning
September 1, 2007
Jane Worthington |
Compliance Financial planners and advisors, advertise wisely. SEC examiners regularly find deficiencies in advertisements touting an advisor's performance returns. They recommend routinely using compliance procedures. |
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. |
National Defense
June 2013
Pankowski & Mercer |
Corporate Cybersecurity Plans Must Evolve Presidential pronouncements highlight the seriousness of cyberthreats. Companies need to develop response plans and develop a clear line of responsibility for notification of governmental authorities and the public. |
InternetNews
October 16, 2009 |
Novell, SAP Partner for Governance, Compliance Software companies promise to bridge gap between business processes and IT security and controls. |
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. |
The Motley Fool
December 29, 2006 |
"All Risks" Policies Be on top of your financial situation -- know what you are and aren't protected against on your homeowner's insurance, and make sure you have the coverage you want and need. |
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. |
