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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.
InternetNews July 2, 2010	EMC Updates Change Management Software With the latest upgrade to its Ionix Storage Configuration Advisor, EMC has added new compliance features and support for mixed networks.
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.
Insurance & Technology August 12, 2005 Anthony O'Donnell	Effective Detective Change audit software and services provider Tripwire released version 5.0 of its Tripwire Enterprise change audit solution, which is designed to prove system and process integrity to help companies comply with regulations while achieving greater network availability and security.
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
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.
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.
IndustryWeek December 1, 2006 John Teresko	Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.
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.
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.
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.
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.
InternetNews May 20, 2009 Alex Goldman	CA Compliance Software Reaches the Mainframe While humans may find mainframes opaque, CA says its software sees everything there.
Bank Systems & Technology May 15, 2008 Paula Damiano	Qualys Offers SaaS Risk Management Qualys introduced the QualysGuard Enterprise Security and Compliance Suite, the first integrated Software-as-a-Service solution for risk management.
Insurance & Technology December 23, 2005 Maria Woehr	Steering Compliance To help insurers manage the entire compliance process, e-know launched Compliance Cockpit, a Web-based solution that works in conjunction with an e-mail client and browser to deploy policies, collect employee responses, track progress in real time and meet compliance objectives.
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.
InternetNews October 4, 2005 Jim Wagner	Symantec Buys Bindview for $209M According to the companies, the joint company will be able to offer its customers either agent-based or agent-less offerings to define, control and sustain IT compliance requirements.
Wall Street & Technology November 21, 2006	FSIs Care More About Compliance New research out of the Business Performance Management Forum verifies the financial services industry's high prioritization of compliance as a business function.
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.
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.
Wall Street & Technology March 19, 2007	Tripwire Announces Enterprise Configuration Audit and Control Solution Tripwire released version 6.0 of its Tripwire Enterprise configuration audit and control solution. According to the vendor, the solution improves IT's control over unauthorized configuration changes, increasing efficiency and mitigating risk.
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.
Wall Street & Technology March 1, 2004 Anthony Guerra	Barclays Invests in Compliance In a post-Sept. 11 world, financial institutions know better than to take compliance lightly.
Insurance & Technology December 23, 2005	Rethinking Risk Management Many firms have allocated a disproportionate amount of resources to Sarbanes-Oxley compliance, according to a new report.
Insurance & Technology February 2, 2007 Anthony O'Donnell	Culture of Compliance Mark Johnson has been appointed Conseco's chief compliance officer, in which capacity he will oversee related activities across the company's Conseco Insurance Group, Bankers Life and Casualty Co. and Colonial Penn Life Ins. Co. units.
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.
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.
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.
Information Today October 6, 2015	Opus Global Acquires Alacra Compliance solutions provider Opus Global acquired Alacra, a business information solutions company.
InternetNews May 27, 2011	Are You Meeting Your Open Source Obligations? Enhanced SaaS service from OpenLogic aims to help enterprises comply with open source licensing.
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.
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.
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.
Investment Advisor April 2007 Kara P. Stapleton	A Compliance Culture Recent NASD actions have led to increased compliance efforts on the part of many independent broker-dealers.
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.
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.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
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.
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 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.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
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.
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.
Wall Street & Technology September 23, 2005	Basel II Falls Flat Despite increased efforts, banks are less certain about the benefits of Basel II compliance, according to a recent survey.
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.
InternetNews August 17, 2010	FaceTime Service Locks Down Social Nets The enterprise security firm unveils a new SaaS offering for helping enterprises manage employees' use of Facebook, Twitter and similar services.
InternetNews October 20, 2004 Clint Boulton	IBM Spruces Up Compliance Taking advantage of compliance regulations to pursue new revenue streams, IBM said it has created a new storage device and software packages to make it easier for businesses to meet record retention policies.
Wall Street & Technology June 21, 2004	Information Nation The keys to information management compliance
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.