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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: IT Approaches to State Law Preemption Under the Proposed Consumer Financial Protection Agency
16 July 09 12:07 AM | AnnaVAubry | 0 Comments   

On June 17, 2009, the U.S. Department of the Treasury issued a white paper entitled “Financial Regulatory Reform – A New Foundation: Rebuilding Financial Supervision and Regulation”(1). This document sets forth the vision of the Obama administration for Read More...

Filed under: Technology, HIPAA, privacy, regulatory, regulatory reform, mortgages, databases, Treasury, Financial Regulatory Reform, Obama Administration, Consumer Financial Protection Agency, CFPA, Congress, Section 117B, Health Insurance Portability and Accountability Act, Health & Human Services, BlueCross BlueShield, Streamlined Sales Tax, Stanford, CodeX, tax, 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

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