Browse by Tags

• A. E. Van Vogt
• accountants
• accreditation
• arbitration
• Asset backed securities
• attorneys
• audit
• bailouts
• Bank Holding Company Act
• bank lenders
• Bank of America
• banks
• Basel II Accord
• best practices
• board directors
• breaches
• business intelligence
• case law
• CCPs
• CFPA
• Chief Risk Officers
• Code of Ethics
• Committee of Sponsoring Organizations of the Treadway Commission
• Compliance
• Congress
• COSCO
• counsel
• credit card banks
• credit rating agencies
• data
• Derivatives
• discovery
• document
• documentation
• due diligence
• e-discovery
• electronic records
• Enron
• ESign
• evidence
• Exchange
• Federal IT Standard
• Federal Rules of Civil Procedure
• financial crisis
• financial statements
• Form 8-K
• global economic crisis
• Governance
• Gramm-Leach-Bliley Act
• Guideline Three
• Health Insurance Portability and Accountability Act
• healthcare
• Hedge Funds
• high performance computing
• HIPAA
• investigations
• IRS
• IT Compliance Management Guide
• IT Compliance Management Resources Workbook
• IT Department
• IT infrastructure
• IT Security RMP
• Jeff Jinnett
• litigation
• regulatory
• Risk
• risk management
• risk mitigation plan
• Sarbanes-Oxley
• scalable
• SEC
• SEC 17a-4
• Sectiion 409
• Section 301
• Section 404
• Section 406
• Securities and Exchange Commission
• security
• Security Accreditation
• Sedona Principles
• service-oriented architecture
• SharePoint Server
• SIFMA
• small and medium-sized companies
• SOA
• SOX
• spoliation
• Susan Hauser
• technical
• technologies
• Technology
• the Fed
• Tower Group
• trust companies
• underwriters
• unlock data
• URAC
• Windows
• Worldwide Financial Services
• XBRL-enabled

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: Value of an IT Security Due Diligence Document/Risk Mitigation Plan
31 August 09 05:25 PM | AnnaVAubry | 0 Comments   

If a company were ever asked to describe its IT security program, the company likely would have to bring in numerous staffers from the IT department and refer to reams of documents to present a full picture of the company’s IT security approach. The need Read More...

Filed under: Risk , HIPAA, security, IT Department, breaches, IT, litigation, Jeff Jinnett, counsel, technical, data, jury, regulators, board directors, bank lenders, accountants, underwriters, due diligence, document, risk mitigation plan, RMP, Security Accreditation, URAC, Federal IT Standard, healthcare, accreditation, small and medium-sized companies, IT Security RMP, evidence

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