Microsoft's Perspective on the Future of Risk & Compliance

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Sai Sireesh: Australian secret sauce for managing risk sprinkled with APRA’s Meta Regulation! 08 October 09 08:13 PM | AnnaVAubry | 0 Comments: I was fortunate enough to have short work stints in Australia (both Sydney and Melbourne), a beautiful country with its free spirited fun loving sporty population. I continue to be amazed at the sophistication and depth of their financial markets. There Read More...

Filed under: Risk , Regulation, Basel II Accord, mortgages, sub-prime, risk management, Australia, APRA, Australian Prudential and Regulatory Authority, Sai Sireesh, banking, loans, banks, securitization, Meta Regulation, financial markets, global markets, RBA, ASIC, Australian Securities & Investments Commission, ACCC, Australian Competition and Consumer Commissiion, Commonwealth Bank of Australia, WestPac, CBA, Macquarie, National Australia Bank, NAB, mortgage discipline, too strong to fail, 4 pillar policy, credit assessment standards, 3rd party loan originator, risk-based, meta-regulation
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
Sai Sireesh: Insurance Supervision - The Future 26 August 09 06:24 PM | AnnaVAubry | 0 Comments: Whilst there is a lot of focus on banking, the insurance sector is also witnessing a wave of regulatory changes specially around cross-border exposures. So I did some quick research on the world of insurance supervision. Devoid of dramatics, the Basel, Read More...

Filed under: Risk , Regulation, regulatory, insurance supervision, supervisory, risk management, EU Solvency II Initiative, EU, Sai Sireesh, insurance, cross-border, IAIS, International Association of Insurance Supervisors, financial stability, supervisory colleges, Multilateral Memorandum of Understanding, MMoU, Solvency II, Europe, Insurance Core Principles, IAIS Annual Conference
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: Regulatory Oversight & Risk Management of the Future 21 July 09 08:28 PM | AnnaVAubry | 0 Comments: Year 2008 was a humbling and significant event for the Investment Banking and Risk Management professions. Many epitaphs will be written for legendary institutions that disappeared overnight and will be spoken about for decades to come in terms of the Read More...

Filed under: Risk , FSA, regulatory, Regulatory Risk Management, Treasury, oversight, Investment Banking, sub-prime, bonds, global credit crisis, interventions, supervisory, risk management, supervision, TARP, US, UK, Super Regulator, Singapore, MAS, Australia, APRA, Australian Prudential and Regulatory Authority, OCC, FDIC, SEC, Stress Testing, Asia, Bank Negara, Malayasia, Bank of Thailand, Reserve Bank of India, Liquidity Management, Central Bank Discount, CFAR, VAR, Bank Capital Requirements, Washington Mutual, JP Morgan Chase, Wachovia, Wells Fargo, National City Corp, capital ratio, Spain, Morgan Stanley, Call back, bonus, remuneration, Sai Sireesh
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: 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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