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How would the Volcker Rule affect compliance programs?
The Volcker Rule portion of the Dodd-Frank Act is designed to rein in high-risk, speculative trading. Here's why it could influence your compliance program. AIOG
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FAQ: How would Volcker Rule regulations affect compliance programs?
FAQ
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FAQ: How will mandatory encryption standards affect IT operations?
Learn how emerging mandatory encryption standards will affect IT operations. FAQ
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SEC stresses importance of social media guidelines and compliance
The SEC has released new "risk alerts" that outline how financial firms can use social media guidelines to protect their business from fraud and comply with federal regulations. News | 16 Jan 2012
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Q&A: How the SEC's XBRL tagging mandates can help your bottom line
As mandatory eXtensible Business Reporting Language use becomes the norm in business communications, one expert says XBRL tagging can assist risk management and analysis. News | 12 Dec 2011
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For now, push for Dodd-Frank Act regulations continues
With Barney Frank's retirement, financial reform backers will lose their loudest voice. Is this the beginning of the end for Dodd-Frank Act regulations? News | 08 Dec 2011
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FINRA regulatory notice provides guidance for using social media
A new FINRA regulatory notice provides guidance for using social media and personal devices in business communications, including record-keeping responsibilities. News | 26 Aug 2011
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Gartner: Dodd-Frank regulations compliance demands compliance bureau
All companies, not just financials, must comply with the Dodd-Frank Act; Gartner recommends having a compliance bureau monitor the implications. News | 27 Jun 2011
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Expert: Failed risk management practices key to financial crisis
The financial crisis is an example of what can happen when those responsible for establishing and maintaining risk management practices are asleep at the switch, an expert says. News | 11 Oct 2010
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Paychex risk management analysis method shoots and scores
How do you set risk management priorities? Learn how one company whittles its way down to a Final Four. News | 24 May 2010
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Financial reforms won't fix the computer terrorism on Wall Street
Was the mayhem of Thursday's stock market plunge caused by an act of computer terrorism? News | 08 May 2010
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Getting serious about PCI DSS compliance
IT security is on the hook for PCI DSS compliance but doesn't control the purse strings, according to a survey of qualified security assessors. News | 03 May 2010
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Principal agent risk needs to be in your risk management model
There is no time like the present to make principal agent risk part of your risk management model. News | 27 Apr 2010
- See More: News on Financial services compliance requirements
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Some benefit from Sarbanes-Oxley; others struggle with SOX compliance
SOX compliance requirements can lead to process improvements and data governance for larger firms, but smaller shops still struggle with Sarbanes-Oxley. Tip
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From IT risk management to IT business risk management in five steps
Recent surveys have found that the primary driver of IT risk management is improved business performance. Follow these five steps for better business performance. Tip
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Crafting a cloud computing strategy that covers cost and compliance
Our CIO columnist consults his peers about a cloud computing strategy that addresses cost, compliance and security concerns. Does cloud computing fit into his business needs? The Real Niel
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Online privacy: New rules for melding e-commerce and information
E-commerce has redefined individual privacy, and compliance and security officers need to practice some viral marketing to convince users online privacy is serious business. Tip
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Security and compliance can go together, when done in the right order
You can have security and still not be in compliance -- but you can't have true compliance without real security. How to avoid getting caught in the security and compliance trap. Tip
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PCI DSS compliance fails to raise the bar on financial fraud
Experts say PCI DSS compliance does not prevent sophisticated online financial fraud schemes. Security and compliance managers need to go beyond the standard. Tip
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Enforcement date for FACT's Red Flags Rule approaches
The Red Flags Rule, which mandates companies develop methods by which they will identify, detect and respond to identity theft incidents, is set to go into effect May 1. Tip
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Financial regulatory compliance best practices, tips
Financial compliance regulations are constantly changing. Here are some CIO best practices and tips for effective compliance strategies. Tip
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Compliance regulations: Understanding the dirty dozen
This report shows the 12 compliance regulations that apply most to your organization, depending on industry, such as SOX, the Patriot Act, HIPAA, Basel II and others. Tip
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Event log manager saves bank both time and money
With regulatory and security concerns bearing down, one bank decided the time had come to upgrade its event log management capabilities. In addition to improved compliance and efficiency, the bank also managed to save a few pennies. Tip
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Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) is an independent regulator securities firms doing business in the United States. Securities are financial instruments, such as stocks or bonds, that can be traded freely on the open market. Definition
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Credit CARD Act (Credit Card Accountability, Responsibility, and Disclosure Act of 2009)
The Credit CARD Act is legislation governing the behavior of credit card companies in the United States. The self-stated purpose of the Act is "To amend the Truth in Lending Act to establish fair and transparent practices relating to the extension of... Word
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IFRS (International Financial Reporting Standards)
IFRS (International Financial Reporting Standards) is a set of accounting standards developed by an independent, not-for profit organization called the International Accounting Standards Board (IASB). Word
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Fair Credit Reporting Act (FCRA)
The Fair Credit Reporting Act (FCRA) is United States federal legislation that promotes accuracy, fairness and privacy for data used by consumer reporting agencies. Word
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Event log management software (ELMS)
Event log management software (ELMS) is an application used to monitor change management and prepare for compliance audits at enterprises. Word
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compliance validation
In compliance, validation is a formal procedure to determine how well an official or prescribed plan or course of action is being carried out. Continued... Word
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compliance audit
A compliance audit is a comprehensive review of an organization's adherence to regulatory guidelines. Independent accounting, security or IT consultants evaluate the strength and thoroughness of compliance preparations. Auditors review security polic... Word
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event log manager (ELM)
An event log manager (ELM) is an application that tracks changes in an organization's IT infrastructure. Word
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IT controls
An IT control is a procedure or policy that provides a reasonable assurance that the information technology (IT) used by an organization operates as intended, that data is reliable and that the organization is in compliance with applicable laws and r... Word
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XBRL (Extensible Business Reporting Language)
XBRL (Extensible Business Reporting Language) is an XML-based computer language for the electronic transmission of business and financial data. The goal of XBRL is to standardize the automation of business intelligence (BI). Word
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How would the Volcker Rule affect compliance programs?
The Volcker Rule portion of the Dodd-Frank Act is designed to rein in high-risk, speculative trading. Here's why it could influence your compliance program. AIOG
-
FAQ: How would Volcker Rule regulations affect compliance programs?
FAQ
-
SEC stresses importance of social media guidelines and compliance
The SEC has released new "risk alerts" that outline how financial firms can use social media guidelines to protect their business from fraud and comply with federal regulations. News
-
Q&A: How the SEC's XBRL tagging mandates can help your bottom line
As mandatory eXtensible Business Reporting Language use becomes the norm in business communications, one expert says XBRL tagging can assist risk management and analysis. News
-
For now, push for Dodd-Frank Act regulations continues
With Barney Frank's retirement, financial reform backers will lose their loudest voice. Is this the beginning of the end for Dodd-Frank Act regulations? News
-
FINRA regulatory notice provides guidance for using social media
A new FINRA regulatory notice provides guidance for using social media and personal devices in business communications, including record-keeping responsibilities. News
-
Gartner: Dodd-Frank regulations compliance demands compliance bureau
All companies, not just financials, must comply with the Dodd-Frank Act; Gartner recommends having a compliance bureau monitor the implications. News
-
Some benefit from Sarbanes-Oxley; others struggle with SOX compliance
SOX compliance requirements can lead to process improvements and data governance for larger firms, but smaller shops still struggle with Sarbanes-Oxley. Tip
-
Expert: Failed risk management practices key to financial crisis
The financial crisis is an example of what can happen when those responsible for establishing and maintaining risk management practices are asleep at the switch, an expert says. News
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Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) is an independent regulator securities firms doing business in the United States. Securities are financial instruments, such as stocks or bonds, that can be traded freely on the open market. Definition
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About Financial services compliance requirements
Compliance professionals in the financial services industry must follow a slew of regulations covering auditing, testing, assessment, Basel II, e-discovery, FACTA, FFIEC, GLBA, PCI DSS, risk frameworks, SEC and FDIC regulations, SOX financial reporting, data security breach laws and the USA Patriot Act section 314. Get the latest financial services compliance news, advice and other resources.