Microsoft's Perspective on the Future of Risk & Compliance

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10 Steps for Effective Risk Management and Compliance - from the desk of Sai Sireesh 02 December 09 10:06 PM | AnnaVAubry | 0 Comments: My 18 years experience has taught me one thing - Risk Management and Compliance initiatives by nature are the most complex to execute. Due to the dynamic nature of the industry needs, there are so many moving parts that it gets hard to keep up. Based Read More...

Filed under: Compliance , risk management, best practices, efficiency, productivity, Total Cost of Ownership
Jeff Jinnett: The Nimble Approach to Compliance: Multi-Purpose IT Solutions and “Nexialist” Compliance Attorneys 04 October 09 07:58 PM | AnnaVAubry | 0 Comments: Regulatory compliance has become an increasingly costly burden. For example, SIFMA has estimated that the U.S. securities industry in 2004 spent $23.2 billion on compliance-related activities(1). In addition, regulatory mandates have become more intrusive Read More...

Filed under: Compliance , SEC 17a-4, Basel II Accord, Sarbanes-Oxley, HIPAA, regulatory, audit, IT solutions, Health Insurance Portability and Accountability Act, SEC, Securities and Exchange Commission, IT, Jeff Jinnett, Sectiion 409, Form 8-K, SIFMA, Enron, Section 404, SOX, financial statements, Committee of Sponsoring Organizations of the Treadway Commission, COSCO, Section 301, documentation, Code of Ethics, Section 406, attorneys, Rule 17a-4, The Voyage of the Space Beagle, A. E. Van Vogt, Nexialist
Susan Hauser, VP of Microsoft Financial Services, on New Challenges in Risk Management and Compliance 26 September 09 10:17 PM | AnnaVAubry | 0 Comments: As the global economic crisis rumbles on, financial firms of all kinds anticipate an overhaul of risk management and regulatory frameworks. I asked Microsoft’s global head of Financial Services, Susan Hauser, for her views: Sai: Susan, as the global head Read More...

Filed under: Risk , Compliance , Technology, people-ready, Basel II Accord, Sarbanes-Oxley, regulatory, SharePoint Server, Microsoft, Office, MOSS, Governance, risk management, IT, Sai Sireesh, Jeff Jinnett, best practices, data, risk mitigation plan, banks, global economic crisis, Susan Hauser, bailouts, financial crisis, Tower Group, technologies, IT spend, unlock data, service-oriented architecture, SOA, Bank of America, portal solution, risk mitigation, IT Compliance Management Guide, IT Compliance Management Resources Workbook, Worldwide Financial Services, Exchange, Windows
Jeff Jinnett: The Catch-22 of Record Retention 19 September 09 07:41 PM | AnnaVAubry | 0 Comments: At the heart of the record retention challenge is the difficult question as to what types of documents to maintain for compliance purposes and how long to maintain them. In certain cases, applicable laws and regulations specify the types of documents Read More...

Filed under: Risk , Compliance , Technology, Federal Rules of Civil Procedure, Sarbanes-Oxley, regulatory, audit, SEC, IT, litigation, Jeff Jinnett, discovery, spoliation, document, record retention, electronic records, IRS, Revenue Procedure 98-25, Revenue Procedure 97-22, Guideline Three, Sedona Principles, Rule 37(e), case law, investigations, Sectiion 409, Form 8-K, ESign, IT infrastructure, scalable
Jeff Jinnett: Adopting an Enterprise-Wide EDRM Platform to Get Electronic Discovery Under Control (Part I) 17 August 09 07:43 PM | AnnaVAubry | 0 Comments: One of the challenges facing many companies today is how to handle the production of electronic documents in the course of litigation discovery. For companies embroiled in litigation, electronic document records management can be an increasingly daunting Read More...

Filed under: Compliance , e-discovery, Jeff Jinnett, EDRM, electronic documents, electronic discovery, black letter law, computerized data, enterprise-wide, electronic documents and records management, EDiscovery, legal, counsel, court orders, protective orders, retention periods, attorney-client privilege, redactions, motion to compel
Jeff Jinnett: Proposed Financial Services Regulatory Reforms (Part II): Possible Business and IT Impacts 31 July 09 08:25 PM | AnnaVAubry | 0 Comments: In our last blog posting, we summarized the Obama administration’s proposed financial services industry regulatory reforms, as set forth in its “New Foundation” white paper [1] . The following are some of the possible business impacts of the changes, Read More...

Filed under: Risk , Compliance , regulatory, Hedge Funds, Asset backed securities, OTC, Derivatives, business intelligence, Obama Administration, CFPA, Congress, risk management, SEC, Liquidity Management, Obama, New Foundation White Paper, the Fed, Tier 1 FMCs, Gramm-Leach-Bliley Act, CCPs, private equity funds, money market mutual funds, MMFs, regulatory reporting, mandates, Chief Risk Officers, loan, credit card banks, thrift holding companies, trust companies, Bank Holding Company Act, credit rating agencies, mandatory arbitration, IT, high performance computing, e-discovery, arbitration, litigation, XBRL-enabled, legislation, Jeff Jinnett
Sai Sireesh: 7 Pillars of US Financial Regulatory Reform Blueprint 08 July 09 11:18 PM | AnnaVAubry | 0 Comments: Risk & Compliance Managers, Private Equity (PE) firms, Hedge Funds, Credits firms and Consumers, in the USA and global financial markets are going to remember this week for a long time to come due to the epic changes in the financial regulation and Read More...

Filed under: Risk , GRC , Compliance , Regulation, Financial Services Authority, Records Management Policy and Standards, regulatory, Microsoft, Risk & Compliance Managers, Private Equity firms, PE, Hedge Funds, regulatory reform, EBC, European Systemiic Risk Council, Regulatory Risk Management, Consumer Protection Regulator, TCF, Treating Customers Fairly, mortgages, credit cards, savings accounts, Executive Pay, Private Equity and Hedge Funds Regulation, Asset backed securities, OTC, Derivatives, Clearing houses, Single Federal Regulator, Financial Services Oversight Council, Sai Sireesh
Jeff Jinnett: The Problem with Unmanaged End User Computing Applications 01 July 09 08:38 PM | AnnaVAubry | 0 Comments: Approximately 68% of an enterprise’s corporate data is managed in IT Department-controlled applications and 32% is stored in key Microsoft Excel spreadsheets(1), Microsoft Access and other databases(2) , business intelligence tools (e.g., reporting tools), Read More...

Filed under: Risk , Compliance , Regulation, Sarbanes-Oxley, security, regulatory, audit, record-keeping, IT solutions, Excel, spreadsheets, Microsoft, Clearing houses, Single Federal Regulator, corporate data, IT Department, Access, databases, business intelligence, Word, TransAlta Corp, safeguards, controls, fraud, AIB's Allfirst Bank, End User Computing Applications, EUCs, breaches, confidentiality, external auditors, e-signatures, mashup, PricewaterhouseCoopers, Gartner, Chambers and Hamill, Prodiance, ClusterSeven, Governance, Jeff Jinnett
Sai Sireesh: Regulatory Compliance Trends Driven by Technology 18 June 09 12:26 PM | Sai Sireesh P | 0 Comments: Regulatory compliance is being driven in some instances by technology innovation. As an example over the years the records management and retention policies have evolved rapidly to keep pace with technology. I am sure you see similar interesting trends Read More...

Filed under: Compliance , Regulation, Technology, FRCP, Federal Rules of Civil Procedure, ESI, Electronically Stored Information, SEC 17a-4, SEC XBRL, FSA, Financial Services Authority, Records Management Policy and Standards, RMPS, 08/1, Unified Communications, Sai Sireesh
Jeff Jinnett: How to Take a Holistic Approach to Governance, Risk Management and Compliance - part 1 11 June 09 11:19 AM | Sai Sireesh P | 0 Comments: Today’s increasingly complex business landscape is matched by an increasingly challenging governance, risk management and compliance (GRC) lan dscape. U.S. multi-national companies are faced with a bewildering array of international, U.S. federal and Read More...

Filed under: GRC , Compliance , Regulation, multi-national companies, EU privacy directive, Basel II Accord, Patriot Act, Sarbanes-Oxley, HIPAA, Gram-Leach-Bliley Act, DoD 5015.2, privacy, security, regulatory, Jeff Jinnett
Sai Sireesh: What is New in Your Risk and Compliance Journey? 03 June 09 05:21 PM | Sai Sireesh P | 0 Comments: Hello and a warm welcome from the Microsoft Worldwide Financial Services Team. In this blog Jeff and I will share our perspectives on the current and future state of governance, risk management and compliance initiatives around the world and the enhanced Read More...

Filed under: Risk , GRC , Compliance , Regulation, Sustainable, Technology, Agility, people-ready, Sai Sireesh

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