All technology articles – Page 3
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Blog
FERF report spotlights audit possibilities via technology
For companies still struggling to get their arms around financial compliance, especially with respect to internal control over financial reporting, technology may provide the answer, according to the Financial Executives Research Foundation. Tammy Whitehouse reports.
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Integrating technology into compliance programs still poses significant challenges
Implementing powerful technologies to improve compliance programs isn’t exactly like waving a magic wand. It requires a great deal of collaboration, time to interpret relevant data, patience, trial and error, and a vision for how to harness the full potential of a category of tool nobody is really certain how ...
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Blog
Apple, the FBI and a terrorist’s iPhone
As the FBI continues its investigation into the deadly San Bernadino terror attack from last December, it has run into an unlikely adversary in Apple, which has refused the Bureau’s requests to defeat the security measures of one of the terrorists’ iPhones. While the legal struggle over this raises the ...
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The Technology Transforming Your Annual Audit
Image: The audit profession is slowly retooling itself for the modern IT age, after decades of reliance on random sampling and manual methods that now fail to meet today’s expectations for precision. “Ultimately, this is how the industry will finally achieve its long-term goal of continuous auditing,” says Joanna Schultz ...
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Article
Achieving a Unified View of Financial Crime Risk
Increased regulatory scrutiny and the sting of billions in fines and penalties resulting from misconduct have prompted many financial firms to pour money into their compliance programs—investments that may be in vain without a unified view of risk. The tech challenges to build that view are considerable, but not impossible ...
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Article
How Mature Is Your Information Governance Function?
Image: Most companies still have much work to do to turn their information governance into “mature” programs, where they can extract insight from their troves of data while minimizing security and privacy risks, according to a new report from the Information Governance Initiative. “To date, very few organizations have taken ...
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Blog
SEC Cites 'Analysis and Detection Center' in Recent Insider Case
A litigation release announcing the SEC’s headline-generating case against former JPMorgan analyst Ashish Aggarwal for insider trading included an interesting note: The Enforcement Division’s Market Abuse Unit was able to detect the insider trading “through trading data analysis tools in its Analysis and Detection Center.” This marks the first time ...
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ISO 20022: Tepid U.S. Embrace for New Financial Standard
Image: The push to adopt a new ISO standard for financial transactions is gaining momentum on a global scale—even as the United States continues to weigh the business case for it. “It’s important because it is seen as the standard that all new financial transactions will move to over time,” ...
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Article
Mending Social Media Compliance Gaps
Two recent studies hold both good and bad news on the state of social media compliance today: Compliance officers no longer approach corporate use of social media with the trepidation they once did, but those channels leave companies increasingly vulnerable to regulatory violations. According to these studies, the financial services ...
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Article
Avoiding the Pitfalls of Data Mining
In recent months, numerous companies have found themselves the target of legal and enforcement actions for obtaining or using personal data without consent. The kicker: Most of these actions could have been easily avoided, since most of the infractions were clear violations of contract law. “If companies simply complied with ...
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Blog
Technology-Assisted Review Gains Steam to Aid Discovery
Image: The use of technology-assisted review to accelerate document-laden legal proceedings is picking up, with courts, regulators, and plaintiffs alike wanting to resolve disputes more efficiently and more accurately. David Remnitz, a forensic technology leader for EY who helped author a handbook on the practice, says there’s been a huge ...
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Article
Running in Place or Winning the New Race?
Image: Our GRC Illustrated series returns this week, looking at how compliance programs can keep pace with new ways of communicating within business and with the new employees who use them. That will mean addressing multiple audiences through multiple channels, and it will pose new challenges for policy management, training, ...
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Blog
Struggles on IT Strategy for Compliance
Image: Compliance officers struggle with IT; that’s not news. This week, however, we have new data that might illuminate why so many compliance departments can’t implement an IT strategy to meet their needs. Inside, Compliance Week editor Matt Kelly looks at which IT typically goes to what compliance tasks, and ...
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Blog
EU Data Supervisor Pushing Strengthened Privacy Laws
Image: Title: ButtarelliThe European Union’s Data Protection Supervisor Giovanni Buttarelli told officials in Washington that the EU’s ambitious overhaul of its data regulations will “place the individual more firmly at the heart” of technology, by boosting transparency and individual control. Buttarelli said the reforms will be backed by real teeth, ...
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Article
e-Discovery Missteps From the Judge’s Point of View
Image: If you fear that your e-Discovery processes are not strong, take heart: Lots of federal judges agree with you. A recent survey of judges and a follow-up webcast spotlight the mistakes in e-Discovery as seen from the bench, and methods to avoid them. “The whole point is to come ...
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Blog
Google Realigns Amid Regulatory Heat
Google’s executive chairman Eric Schmidt met with the EU’s new antitrust chief on Monday. The search engine giant is being scrutinized by regulators for engaging in anticompetitive practices, potential antitrust violations, and oversight of privacy issues. In response to the mounting regulatory pressure, the company has realigned its European operations. ...
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Article
FTC, FDA Take Closer Look at Disclosures
The Federal Trade Commission is cracking down on companies with questionable advertising disclosures. The Food and Drug Administration, meanwhile, may allow shorter lists of side effects in drug and medical device ads, even as it prepares tougher standards for how these companies use online advertising and social media. The focus ...
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Blog
SEC.gov's Top 10 News Stories, Search Terms in 2014
The SEC marked the end of 2014 by tweeting "Top 10" lists of both the most-viewed news stories of 2014 on SEC.gov, as well as the most-searched terms on SEC.gov.Here are 2014's Top 10 most-viewed news stories on SEC.gov: See the list: 2014’s most-viewed news on http://t.co/kacEcWakdu pic.twitter.com/zrASY0Ia9j— SEC_News (@SEC_News) ...
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Blog
Report: Companies Struggle to Secure Sensitive Data
Many companies still struggle with how to secure their most sensitive data, elevating the risk of a data breach, according to a new cyber-security report of nearly 500 IT and security professionals conducted by information-security firm Trustwave. The report reveals significant security deficiencies and common security weaknesses still remain in ...
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Blog
Justice Department Launches New Digital Services
The Department of Justice today announced the launch of two new digital services: the News API and the Law Jobs API. These new Web application programming interfaces add search, sort, and filter capabilities to thousands of Supreme Court briefs, legal opinions, Freedom of Information Act court decisions, Congressional testimony, and ...
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