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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: 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

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