Compliance Week TV

 In our first Compliance Week TV video we hear from Frank Diana, executive vice president of enherent Corporation, who discusses the challenges involved in information management.
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Webcasts of the Week

 Defining and Executing Systematic, Risk-Based Third-Party Due Diligence for FCPA Compliance
Sponsored by The Steele Foundation

Help Wanted: Ad of the Week

 Compliance Education & Communications Mgr.
Submitted by Oracle

Event of the Week

 Corporate Governance Programs
Courtesy of Harvard Business School

Thought Leadership of the Week

Access Management: Efficiency, Confidence, Control
Courtesy of SAP

The Resource Exchange

Code of Conduct
Submitted by BP

Sample Risk Acceptance Request
Submitted by Circuit City

Featured Databases

Whistleblower Guidelines
Search Whistleblower Policies, Contract Options

Class-Action Filings
Download Text of Class-Action Complaints

GRC Illustrated Series

 Improving GRC by Visualizing Your Data
The 24th Installment in This Exclusive Series

Compliance And Technology

Below is some of the most recent Compliance Week coverage on issues related to the intersection of compliance, risk and technology. These articles typically explore information-technology issues as they pertain to reliable financial reporting, internal controls, records retention, ERM, privacy, security, and other global requirements or standards. The list below shows the most recent articles first.

  Title & Description Date Type of Article
1. Survey: Cos. Lack Business Intelligence Capabilities
Despite a growing push in business intelligence tools by software vendors, most companies are still lagging in the analytical skills that help drive better decision making.
 By Jaclyn Jaeger
08/31/10 Compliance Week Coverage
2. Shop Talk: Compliance Risks in New Data Technologies
Forward-thinking companies know that the next generation of data technology—online social media services, cloud computing, shared data storage centers, and the like—can be valuable business tools if used wisely.
 By Jaclyn Jaeger
07/07/10 Compliance Week Coverage
3. Podcast: Cloud Computing 101
We talk with Karen Camp, CFO of software vendor Dorado Corp., about how companies should work with cloud computing vendors and what concerns they typically should want to see addressed.
 		07/02/10 Compliance Week Coverage
4. Managing the Risks of IT Project Failure
Every year, companies invest millions of dollars on large-scale IT projects that are technically correct, yet still fail to deliver promised results. Sometimes these large projects fail because nobody could clearly articulate what a successful outcome would look like in the first place. Without doubt, IT auditors and risk managers need a better approach that improves the odds of success with large or complex systems projects.
 By James Bone
06/29/10 Columns & Editorials
5. Experts Speak on Using Social Media for Good
Amid headlines trumpeting privacy failures and PR nightmares stemming from employee use of popular social media tools such as Facebook and YouTube, it’s no surprise that many companies still struggle with whether and how to dip their toes in the social media pool.
 By Melissa Klein Aguilar
06/02/10 Compliance Week Coverage
6. Where Good Risk Management IT Systems Come From
In case you’ve been living under a rock the last few quarters, here’s a quick update: all the hip, in-the-know business leaders are focusing these days on how to understand and manage risks more effectively.
 By James Bone
04/13/10 Columns & Editorials
7. Another Round of XBRL Guidance From SEC
Companies coming under the Securities and Exchange Commission’s rule to submit financial statements tagged using XBRL technology got another round of advice from SEC officials recently to help them with that endeavor.
 By Melissa Klein Aguilar
03/30/10 Compliance Week Coverage
8. Two Reviews of GRC Software Implementations
Plenty of companies still use Microsoft software or homegrown IT solutions to manage their governance, risk, and compliance efforts, but a respectable fraction have also tried to implement dedicated, enterprise-wide GRC software systems to consolidate the management of multiple regulatory compliance burdens under one IT roof.
 By Melissa Klein Aguilar
03/23/10 Compliance Week Coverage
9. What Companies Should Know About XBRL Tagging
The digital revolution in financial reporting is underway! Oh, um—you haven’t noticed yet?
 By Colleen Cunningham
02/23/10 Columns & Editorials
10. Case Study: ACS Conquers Identity Management
For Affiliated Computer Services, a Dallas-based IT and business-process outsourcing firm that does business in 100 countries, identity management had become not only a compliance concern by 2008—it was a business risk and productivity drain as well.
 By Todd Neff
02/09/10 Compliance Week Coverage
11. Updating PCI Compliance to Thwart Breaches
Breaches of consumers’ personal information are quickly becoming one of the biggest operational risks facing any business conducting electronic commerce. How big? The Federal Trade Commission estimates that breaches of “PCI” hit 9 million Americans and cost about $52 billion—annually.
 By James Bone
02/02/10 Columns & Editorials
12. Data Privacy Practices Explored
A consensus is emerging among regulators that companies’ efforts to protect the consumer data they collect need a serious overhaul to keep pace with today’s changing technology landscape.
 By Jaclyn Jaeger
01/20/10 Compliance Week Coverage
13. Monitoring Controls a Top Priority in 2010
As Corporate America settles into 2010, it may want to put stronger monitoring controls on its list of things to do this year.
 By Jaclyn Jaeger
01/20/10 Compliance Week Coverage
14. More Expansion Plans for XBRL Reporting
XBRL technology may expand its reach in financial reporting even more in 2010, thanks to several efforts in Congress and the states to use XBRL as a means to reduce complexity in financial statements.
 By Melissa Klein Aguilar
01/05/10 Compliance Week Coverage
15. Case Study: Managing Post-Trade Compliance
Principal Funds, a group of 112 mutual funds with $280 billion in assets, had a problem with post-trade compliance: It wanted some way to confirm that all its transactions stayed within investment trading rules, and to confirm that every day.
 By Todd Neff
12/22/09 Compliance Week Coverage
16. Finding GRC Software to Suit Your Needs
The popularity and proliferation of governance, risk, and compliance systems has grown over the years as regulatory requirements have become more complex. So it’s little wonder that IT, risk, and compliance professionals have sought ways to make their lives less complex.
 By James Bone
12/01/09 Columns & Editorials
17. Study: Companies Lack Mature GRC Systems
A solid majority of compliance departments in Corporate America still rely on standard Microsoft products to manage their governance, risk, and compliance chores, despite the notorious security weaknesses Microsoft can pose, according to an exclusive Compliance Week study.
 By Jaclyn Jaeger
12/01/09 Compliance Week Coverage
18. More Progress, Fewer Errors on XBRL Filings
The mandate for companies to tag their financial statements using XBRL technology hasn’t yet proven to be the compliance nightmare that many feared. It also hasn’t yet revolutionized investors’ ability to analyze and compare corporate data.
 By Melissa Klein Aguilar
11/24/09 Compliance Week Coverage
19. Report: Few Prepared for e-Discovery
Demands for electronically stored information are increasing, but most companies are still coping with those requests on a case-by-case basis, costing them time and money and putting them at risk for sanctions and fines.
 By Melissa Klein Aguilar
10/20/09 Compliance Week Coverage
20. The Results Are in on First XBRL Filings
Corporate America has finally begun filing financial statements tagged in XBRL technology—and the mandate once hailed by the Securities and Exchange Commission as a transformational event in financial reporting has passed with little fanfare.
 By Melissa Klein Aguilar
09/15/09 Compliance Week Coverage
21. Developing a Matrix for Cloud-Computing Compliance
If you spend any time eavesdropping on your CIO’s conversations these days, you’re likely to hear him or her talk about “virtualization.”
 By James Bone
08/04/09 Columns & Editorials
22. Cloud Computing Vs. Internal Controls
John Bace, a research analyst at the Gartner Group, had just finished a presentation for a corporate client. Discussion shifted to the company’s data storage, and the client’s CIO mentioned he planned on moving much of that data to “the cloud.”
 By Todd Neff
07/07/09 Compliance Week Coverage
23. Podcast: Cloud Computing
Compliance Week editor Matt Kelly talks with Doug Cornelius, chief compliance officer of Beacon Capital Partners, about “cloud computing” and how such IT systems can affect compliance. (Time: 8.5 min.; file size: 7.7 Mb)
 		06/26/09 Compliance Week Coverage
24. A Comprehensive Approach to Compliance Risks
Frank Lopez’s recent Compliance Week guest column, “Tips for Mitigating Whistleblower Risk,” provided a good overview of whistleblower policy, as well as some excellent suggestions for improving the anonymous hotline reporting process overall. It also got me thinking about the importance of moving beyond the hotline, and beyond business-as-usual reporting on risk- and compliance-related incidents.
 By Ross Williams, Chief Risk and Compliance Officer, Cognizant Technology Solutions Corp.
06/23/09 Compliance Week Coverage
25. Required Reading for the XBRL Mandate
Corporate compliance officers who don’t already know the Securities and Exchange Commission’s adopting release for its XBRL mandate—and know it well—ought to put it on their summer reading list.
 By Melissa Klein Aguilar
06/16/09 Compliance Week Coverage
26. XBRL: More Plans, Still Little Enthusiasm
The XBRL community is launching a new movement to expand corporations’ use of the data-tagging technology to mergers, reorganizations, and similar transactions—even though Corporate America still hasn’t even started complying with a previous mandate to use XBRL in financial statements.
 By Melissa Klein Aguilar
06/02/09 Compliance Week Coverage
27. Tweet, Tweet: A Guide to Virtual Governance
“Directorship is now following you on Twitter,” an innocuous e-mail announced to us last month. What? Could one of America’s board publications be taken with tweets?
 By Stephen Davis and Jon Lukomnik, Compliance Week Columnists
05/12/09 Columns & Editorials
28. Choosing From a Plethora of e-Discovery Vendors
Since the Federal Rules of Civil Procedure were overhauled in 2006 to address the complicated issues of electronic discovery in civil litigation, the number of e-discovery vendors has more than quadrupled. But not all vendors—while ready and willing—can fit every client’s unique needs.
 By Jaclyn Jaeger
04/21/09 Compliance Week Coverage
29. Using XBRL to Attack Systemic Risk
Already hard at work making Security and Exchange Commission filings interactive, XBRL technology now finds itself at the heart of plans to save the U.S. financial system from future calamity.
 By Todd Neff
04/07/09 Compliance Week Coverage
30. eDiscovery Rules for Document Preservation
Technology is often key to helping any business endure a government investigation or lawsuit—and can just as often be the company’s undoing if it navigates the perils of e-discovery poorly.
 By Jaclyn Jaeger
03/03/09 Compliance Week Coverage
31. Blogs: If Used Properly, an Investor-Friendly Tool
Investor relations may finally be entering the world of the blog, an Internet communications concept that began some 10 years ago. Blogs are a wonderful tool with great potential, so of course Corporate America has been late to adopt them. But finally, we’re seeing progress.
 By Louis M. Thompson, Jr., Compliance Week Columnist
02/18/09 Columns & Editorials
32. Making the Most of ERP Systems for IT Control
Enterprise resource planning software is designed to reach into all corners of an organization and integrate the data throughout the whole company. But when it comes to compliance, cracks remain.
 By Caron Carlson
02/10/09 Compliance Week Coverage
33. Final XBRL Rule Starts New Compliance Push
The Securities and Exchange Commission has finally delivered its mandate—all 206 pages of it—that corporations start filing financial statements using XBRL technology.
 By Melissa Klein Aguilar
02/10/09 Compliance Week Coverage
34. How to Weigh IT Investment Decisions
Corporate management has always been told to invest wisely in IT. The board has always been told to ensure management invests wisely in IT. It’s a truism everyone states all the time.
 By Dan Swanson, Compliance Week Columnist
02/03/09 Columns & Editorials
35. XBRL: Who Will Use This Stuff?
When Christopher Cox, former chairman of the Securities and Exchange Commission, heralded the arrival of XBRL technology last year as the greatest advance in financial reporting in 20 years, he declared: “Interactive data will enable new analysis tools to put key information at every investor’s fingertips within seconds, exactly as the investor wishes to see it.”
 By Todd Neff
01/27/09 Compliance Week Coverage
36. Security Control Threats in Tight IT Budgets
For all the improvements companies have made to their IT security and control systems in the last five years, one menace still looms large these days: that layoffs will wreck the compliance system you’ve carefully crafted.
 By Todd Neff
01/27/09 Compliance Week Coverage
37. SEC Mandates XBRL Filings by July 2009
The Securities and Exchange Commission has given corporations one final farewell gift before the end of the Bush Administration: six more months to comply with the new XBRL mandate.
 By Melissa Klein Aguilar
12/23/08 Compliance Week Coverage
38. Advanced IR Section Crucial to Corporate Websites
Last June, the director of the Securities and Exchange Commission’s Division of Corporation Finance, John White, addressed the annual conference of the National Investor Relations Institute. His message: “Communications is a big theme for the SEC. Companies, more and more, are using corporate Websites to provide information that we require. We at the Commission are on board with this, and we want to encourage it.”
 By Louis M. Thompson, Jr., Compliance Week Columnist
10/21/08 Columns & Editorials
39. New Ideas on Corporate Disclosure
A consensus is beginning to emerge that the Securities and Exchange Commission should scrap its 20-year-old system of electronically filed periodic reports—although nobody knows just what new system should be built to haul the SEC into the 21st century.
 By Melissa Klein Aguilar
10/14/08 Compliance Week Coverage
40. IT Security Benchmarks Help Battle Hackers
IT security may be a routine part of doing business, but it retains an unmistakable aura of a black art, where recovering hackers in white hats battle evil black-hats using various forms of digital sorcery.
 By Todd Neff
10/07/08 Compliance Week Coverage
41. Editorial: Experienced XBRL Filers Offer Tips, Recommendations, and Pitfalls to Avoid
Good judgment comes from experience. Unfortunately, as the writer and Emmy-nominated screenwriter Rita Mae Brown once noted, experience often comes from bad judgment.
 By Matt Kelly
10/01/08 Columns & Editorials
42. Perfecting Your IT Infrastructure, the Backbone of GRC
An integrated approach to governance, risk, and compliance will not work without an IT infrastructure to support it; after all, take the wiring out of your Maserati and see how much good its fine-tuned Italian engineering does.
 By Scott Mitchell, The Open Compliance And Ethics Group
09/30/08 Compliance Week Coverage
43. Online Shareholder Forums Slow to Catch On
Despite rule changes aimed at facilitating online communication between companies and their shareholders, it seems electronic shareholder forums are an idea whose time hasn’t come, just yet.
 By Melissa Klein Aguilar
09/23/08 Compliance Week Coverage
44. Spy vs. Spy: Battling Fraud in Social Networks
You did it! You finally joined the 21st century and created a Facebook page. Now, proudly displayed on your profile for the whole world to see are your date of birth, dating status, hometown, college affiliation, and complete employment history.
 By Jaclyn Jaeger
09/09/08 Compliance Week Coverage
45. Views on XBRL Adoption
Editor’s note: The Securities and Exchange Commission plans to publish a rule mandating XBRL technology for financial statements as soon as this fall. To hear how much of a challenge XBRL implementation can be, we caught up with four financial reporting executives at companies that have already been participating in the SEC’s voluntary pilot XBRL filing program. These are their stories. If you're interested in hearing first-hand the experiences of the speakers below, join Compliance Week at our XBRL Primer, Nov. 19 in New York City.
 By Compliance Week
08/26/08 Compliance Week Coverage
46. Advice on IT Governance After a Merger
Christian Phillips, chief security officer at payment processing company Regulus and an old hand at running corporate IT departments, knows all too well the challenges of blending IT departments after a merger.
 By Jabulani Leffall
08/26/08 Compliance Week Coverage
47. SEC to Shed EDGAR for New IDEA
As companies await a final Securities and Exchange Commission rule that will force them to use XBRL technology in their financial filings as soon as next year, the SEC has unveiled an XBRL push of its own: scrapping the EDGAR database in favor of a new system to handle “interactive data” filings.
 By Melissa Klein Aguilar
08/26/08 Compliance Week Coverage
48. XBRL Validation—Can It Be Trusted?
The Securities and Exchange Commission can mandate use of XBRL technology for financial reporting all it wants. Ultimately, however, the investing public must take one key action to make companies’ investments in XBRL worth all that time and money.
 By Todd Neff
08/12/08 Compliance Week Coverage
49. Cautious Support for Proposed XBRL Rule
Corporate America is generally voicing support for the Securities and Exchange Commission’s proposed rule to mandate that corporations file financial statements using XBRL technology, although a few gripes remain about the timetable for adoption and about the difficulty of handling footnotes.
 By Todd Neff
08/05/08 Compliance Week Coverage
50. New PCI Rules Arrive, Confusion Remains
Another flurry of IT security rules to protect consumers’ credit card data went into effect this month—not that they will be much help to bewildered and frustrated retailers across the country.
 By Jabulani Leffall
07/15/08 Compliance Week Coverage

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