Microsoft's Perspective on the Future of Risk & Compliance

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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
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
Sai Sireesh: GRM - Global Risk Management or Government Risk Management ? 05 August 09 11:33 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: regulatory, tax, Investment Banking, sub-prime, global credit crisis, interventions, risk management, TARP, US, UK, FDIC, Federal Reserve Board, too big to fail, SWF, Sovereign Wealth Funds, pan asian, aggregator, Risk Managers, G7, EU, guarantee, stimulus package, benchmark rates, toxic securities, equity, nationalization, Interbank, debt, recapitalization, restructuring, free market economy, China, Russia, Germany, South Korea, Japan, France, India, foreign exchange, GDP, GRM, CRO, financial supermarts, Sai Sireesh
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
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: 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
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

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