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 TitleDate AddedCompany
whitepaper Enabling Faster, Easier Regulatory Compliance and Improved IT Governance2005-09-27 03:00:03 SERENA Software
  Financial businesses, including banking, insurance, brokerages and other services, have been early adopters of many IT initiatives, from electronic transaction processing to ATMs and Internet access. This business sector uses many internally produced applications to support back office operations, customer relationship management, customer records consolidation, accounting and special program management. Mergers and acquisitions in this sector are frequent, requiring ongoing change and consolidation. Finally, this sector is also heavily regulated, and thus companies are using technology to track everything that takes place in their environment and manage and consolidate all of their internal processes and systems, so that they can ensure regulatory and audit compliance.   
whitepaper Gartner Research Note: Magic Quadrant for E-Mail Active-Archiving Market2005-12-19 11:05:27
  Find out how one of the hottest new markets in the enterprise is shaking out by reading the Gartner Research Note, "Magic Quadrant for E-Mail Active-Archiving Market, 2005." This quick-and-dirty report explains why now is the time for companies to address their e-mail retention needs. It evaluates vendors in the emerging market and ranks them as Leaders, Visionaries, Challengers, or Niche Vendors, on the basis of their ability to execute and completeness of vision.   
whitepaper Email Content Filtering Strategies for GLBA Compliance2005-10-10 17:04:53
  In the financial industry, email plays an important role in the efficient day-to-day execution of business. It's critical that financial institutions ensure the privacy and protection of personally identifiable financial information and Title V of the Gramm-Leach-Bliley Act (GLBA) sets those standards. Consequently email management systems must provide tools and techniques that enable companies to comply with the GLBA. This white paper outlines a strategy that will enable companies to meet their compliance obligations as they relate to the transmission and disclosure of Nonpublic Personal Information (NPI) through an email system.   
whitepaper Identity Auditing: Taking Compliance Beyond the Baseline2005-09-27 03:00:03 Sun Microsystems
  This white paper will discuss how to meet ongoing enterprise audit and compliance requirements effectively and cost-efficiently through proactive, automated visibility into internal controls and identity infrastructures. It will specifically address the unprecedented nature of enterprise audit and compliance demands today, and the pressures these demands place on organizations. The paper also addresses the approaches that organizations have taken to ongoing enterprise audit and compliance challenges, and the emergence of identity management as a critical factor for success. The need for identity auditing to provide a sustainable, effective, and cost-efficient approach to achieving improved security and long-term compliance is also discussed.   
whitepaper The Importance of Managing Software Licenses2005-09-27 03:00:03 Compushare
  Software licensing is an often overlooked risk in financial institutions. The financial and reputation risk associated with improper management of software licenses is on par with disclosure of GLBA protected data. With the current regulator focus on Security and GLBA compliance, the actual risk of loss due to inadequate software licensing is far greater.   
whitepaper Is the Bank Merger Regulatory Review Process Ripe for Change?2005-09-27 03:00:03 Wolters Kluwer
  In this renewed era of megamergers, including the recent mergers of Bank of America Corporation/FleetBoston Financial Corporation and JP Morgan Chase & Co./Bank One Corporation, one again revisits the extensive burden of the regulatory approval process. The existing process is complex with differing competitive analysis by banking agencies and the Department of Justice (DOJ). The Gramm-Leach-Bliley Act of 1999 (GLBA) and its amendments to the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSRA) add the Federal Trade Commission (FTC) to the competitive review process when certain merging companies have competing nonbank subsidiaries. This paper will describe the more controversial elements of the merger approval process - the competitive review, the convenience and needs review and the interstate banking review.   
whitepaper Challenges of Data Retention Compliance2005-10-05 13:27:05
  This paper briefly describes the industry drivers for effective data management and explains why meeting the requirements for regulatory compliance, corporate governance, and litigation support has become critical in today's business environment. The paper lists the challenges of data retention compliance and keys to success, as well as the infrastructure and technology Sun offers that empower organizations to build effective, economical compliance solutions. While the focus of this paper is data retention (and storage is a critical element of the solution), it is important to note that compliance and data lifecycle management solutions involve storage and much more--comprehensive strategies involve people, policies, and the entire IT infrastructure.   
whitepaper Records Management and the Gramm-Leach-Bliley Act2005-09-27 03:00:03 OmniRIM Solutions
  This white paper provides a discussion of records management requirements as derived from and as a result of the Gramm-Leach-Bliley Act. The white paper provides an overview of the Gramm-Leach-Bliley Act and discusses its impact in the area of records management. The Gramm-Leach-Bliley Act is just one of number of recently passed pieces of legislation which has brought the issue of effective records management to the forefront of corporate responsibility. It is one more reason why CEOs and boards of directors now have no choice but to implement and constantly monitor effective records management programs.   
whitepaper Self-Funding IT Governance: A Life Cycle Management Perspective2006-01-26 10:59:11
  Download the CA white paper, "Self-Funding IT Governance: A Life Cycle Management Perspective," to read about the challenge of meeting regulatory compliance without the benefit of supplemental funding. It identifies the three key areas in which investments in life cycle management (LCM) process improvements offer the greatest returns, and explains how those improvements can support both your current and long-term IT governance functions.   
whitepaper Gramm-Leach-Bliley: Information Security Plan2005-09-27 03:00:03 Swarthmore College
  Protecting customer information is a shared responsibility between institutional offices and the Information Technology Services staff. Institutional offices are directed to develop a written security policy that details the policies and processes in place in each relevant area where a risk to customer information is evident. Information Technology Services (ITS) will maintain and provide access to policies and procedures that protect against any anticipated threats to the security or integrity of electronic customer information and that guard against the unauthorized use of such information. This document is an outline of ITS practices in place that protect electronic information.