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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.
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.
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.
Wall Street & Technology March 19, 2007 Cory Levine	BIDS Brings On Richard Levin as CCO Newly formed alternative trading system BIDS Trading has found its chief compliance officer in Richard Levin, who most recently served as general counsel and CCO for EquiLend Holdings.
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.
Insurance & Technology March 18, 2005 Anthony O'Donnell	Hancock Eyes Global Needs Boston-based John Hancock made two appointments to its global compliance team. The carrier named Kevin Cloherty to the new position of VP and chief counsel of global and U.S. compliance and appointed Mitchell Karman to fill the existing position of VP
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.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
HRO Today Mar/Apr 2008 Kerry Ann Vales	Compliance Outsourcing Gaining New Ground in HRO Contracts In a world of changing regulations, employers are increasingly looking to service providers to help ensure they meet all applicable mandates. Expect more contracts, especially mid-market ones, to tack on compliance as part of the service delivery.
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 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.
PC Magazine November 30, 2005 Molly K. McLaughlin	Keep the Lawyers Away Got a legal issue that you can't handle alone, but lack the funds to hire counsel? Bluecase Home & Business Lawyer will come to your rescue with more than 200 customizable legal documents.
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 Director 4th Quarter 2010 Scott Sorrels	Do I Need to Get My Own Lawyer? There are times when directors and officers of a troubled financial institution facing an enforcement order should consider hiring counsel, separate and apart from bank counsel, to best protect their personal interest.
OCC Bulletin January 13, 2004	Preemption and Visitorial Powers Two new final rules deal with the applicability of state law to national banks and the OCC's current regulation concerning the scope of the agency's "visitorial powers" over national banks.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
OCC Bulletin September 8, 2000	Privacy Laws and Regulations This document is designed to assist national banks and their subsidiaries in complying with federal laws and regulations relating to the disclosure of consumer financial information...
Real Estate Portfolio Jul/Aug 2002 Kenneth L. Betts	Avoiding Enron: Counseling the Audit Committee In general, the role of the audit committee is to review the financial operations and statements of a company and to affirm the integrity and accuracy of the preparation and dissemination of that information. Now audit committees need closer observation, support and liability protection.
Insurance & Technology July 1, 2008 Nathan Conz	Lucido Named Chief Compliance Officer at MassMutual Bradley J. Lucido was named by MassMutual to succeed the retiring Margaret Sperry as senior vice president and chief compliance officer.
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.
Entrepreneur April 2005 Jane Easter Bahls	Fee-dom of Choice Do you know your legal service billing alternatives?
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 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.
Bank Director 4th Quarter 2009 William M. Aukamp	Some Thoughts on Regulatory Reform Before creating a new agency, Congress should be mindful of the already-heavy compliance burden born by banks.
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.
Entrepreneur October 2004 Jane Easter Bahls	Law Talent Lawyers have more to offer than just legal advice--they can also bring important skills to your business. One is a tendency to see the big picture.
National Defense September 2014 James C. Fontana	Attorney-Client Privilege in Fraud Suits at Risk Government contractors typically maintain ethics compliance programs, which are mandated by the Federal Acquisition Regulation and are part of the industry's best practices.
Wall Street & Technology February 23, 2008 Cory Levine	Compliance Costs Grow Faster Than Net Income According to New York-based Deloitte & Touche's Deloitte Center for Banking Solutions, compliance costs are eating up more and more of firms' net income, due to applying human resources to monitor regulations.
Bank Technology News September 2001 Joseph McKendrick	Compliance Gets Complex A changing world brings banks new regulatory challenges...
Insurance & Technology February 4, 2009 Anthony O'Donnell	AIG Names Anastasia Kelly Vice Chairman Kelly adds communications, corporate affairs and HR to her duties as executive vice president, general counsel and senior regulatory and compliance officer.
Entrepreneur January 2007 Jane Easter Bahls	Outside Job Prepaid legal plans are a big help to smaller firms.
Registered Rep. February 1, 2003 Bill Singer	Shelter From the Storm? In investor lawsuits against financial advisors, many reps choose to let the broker/dealer's lawyer represent them --- often simply because he's provided "free of charge". Big mistake.
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.
National Defense January 2015 Ryan Berry & Guy Filippelli	Compliance Programs Need Data Analytics Without data analytics tools, companies remain dependent on human identification of risks and violations. Their compliance efforts often consist only of training employees to spot misconduct, and in setting aside financial reserves to fund expensive, after-the-fact investigations by outside counsel.
Insurance & Technology May 18, 2004 Julie Gallagher	IT Isn't Tapped for Compliance The insurance industry fails to embrace the full business value of IT when it comes to addressing regulatory requirements and instead relies primarily on manual processes and ad hoc measures
U.S. Banker January 2005 Karen Krebsbach	The Compliance Officer Rises to the C-Suite Who's the most valuable person in your bank? Today that lofty designation most likely belongs to the compliance officer, and his growing clout is prompting salary spikes.
Investment Advisor March 2006 Parks & Paris	IA Soapbox: Why We Went RIA In the RIA model, compliance issues serve to remind us that we are on the same side of the table as our client, and that staying compliant will help us forge together a long-lasting relationship.
CFO December 1, 2004 Kate O'Sullivan	Laying Down the Law By naming compliance officers, companies are putting new focus on regulatory issues -- and giving CFOs a break.
Pharmaceutical Executive August 1, 2014 Severin Wirz	Only Fools Rush In The importance of pre-acquisition due diligence.
U.S. Banker March 2007 Paresh Amin	Balancing Industry Mandates and Federal Regulations Financial companies need to consider compliance, business objectives and data security in a holistic manner. All three can be boiled down to one main requirement: determining what is happening to critical data.
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.
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.
Entrepreneur August 2006 Jane Easter Bahls	That's My Lawyer Is it OK to share a lawyer with a close competitor?
Managed Care September 2002 John Carroll	Profusion of Health Care Laws Creates Compliance Problems for Health Plans The standoff has led to an epic legal struggle between business interests hungering for a uniform federal standard and local interests that are fiercely protective of states' longstanding right to dictate insurance law. From the perspective of managed care, things are rapidly worsening.
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.
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.
OCC Bulletin October 20, 2003	Bank Secrecy Act Examination Procedures The examination procedures allow examiners to tailor the examination scope according to the reliability of the bank's compliance management system and the level of risk assumed by the institution.
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 November 21, 2006 Cory Levine	Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates.
IndustryWeek March 16, 2011 Ebert et al.	Managing Regulatory Challenges in a Global Marketplace Meeting requirements in emerging markets makes regulatory compliance an increasingly difficult issue for manufacturers. A new study sheds light on the challenges and how leading companies are meeting them.