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Compliance
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Nearly half of the more than 100 financial services and compliance professionals who participated in an FRSGlobal survey indicate standardization of their business reporting processes is insufficient.Be the first to comment
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Compliance costs are eating up more and more net income, growing from 2.83 percent of net income in 2002 to 3.69 percent in 2006.
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The Collaborative Software Initiative (CSI) recently joined the Shared Assessments Program, automating the questionnaire by providing a web services front-end application for collection and editing shared assessment submissions and an XML schema for validating and accepting those submissions as XML documents.
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Compliance management solution MyComplianceOffice from TerraNua audits activities including attestations, policy review and updates and employee trading.
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2,775 firms took part in the three-week long exercise, which allowed enough time to simulate a full pandemic wave.
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Data breaches are costly for any company, but according to a 2007 study by the Ponemon Institute the average total cost for an incident is much higher in the financial sector.
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More than 200 bills are currently pending at state level.
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Globalization continues to be a trend, and companies are finding they can't manage current global compliance requirements efficiently.
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A global survey of senior anti-money laundering (AML) compliance officers identified Asia as the region currently experiencing the greatest increase in money laundering risk.
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Sixty-five percent of public and private organizations have not implemented enterprisewide records management policies.
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Enterprise risk management (ERM) software provider LogicManager launched a new solution to address the recent changes to Sarbanes-Oxley.
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As insider trading rises globally, regulators and banks are using complex event processing and remote-control software to catch rogue traders.
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As electronic data proliferates, complying with e-discovery rules becomes more difficult -- and more costly.
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As Chief Regulatory Officer Charles Whitcomb will initially lead the exchange through its transition to being full electronic in January 2008.
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Investment advisors are expected to spend the most as they are among the fastest growing but most regulated group of advisers. But hedge funds are also likely to increase spending.
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The future of shareholder material delivery is electronic, and the SEC has laid out the plan to get there.
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In search of best execution, buy-side firms tap brokers' new commission-sharing arrangements to pay for valuable research.
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