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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

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 2
11 June 09 04:38 PM | Sai Sireesh P | 0 Comments   

In the last blog, we were discussing ways to copy with today's new business and regulatory challenges. Again, you might want to consider adopting a "holistic" GRC approach that can help you develop multi-purpose, reusable GRC solutions. For example, under Read More...

Filed under: GRC , privacy, security, audit, record-keeping, multi-purpose, reusable, Excel, spreadsheets, Issue Grids, SharePoint Server, Office, MOSS, XML, Jeff Jinnett