Compliance Newsflashes: NASD Hosts Compliance and Technology Conference, and more
The first NASD Compliance and Technology Conference will be held April 27 in Ft. Lauderdale, Fla. Featured topics include supervisory controls and technological impacts; identity theft, online fraud and data security; a mutual funds discussion and case study; an electronic media case study; and a technology and compliance roundtable. Speakers will consist of financial services specialists in the compliance, legal and technology areas, as well as regulators who will highlight developments in securities regulation and discuss how firms are using technology to remain compliant. Brian Shea, chief operating officer of Pershing, will deliver the keynote speech.
After the conference, participants will have the opportunity to learn by networking with colleagues and technologists during a special "Solutions Forum." Attendees can hear from solutions providers who will offer demos and/or make informal presentations. For more information, go to www.nasd.com.
--Providus and FileNet to Integrate Operational Risk Management Solution and Content Management Platform
Providus Software Solutions, an operational risk management (ORM) software provider, and FileNet Corporation, an enterprise content and business process management solutions provider, have partnered to provide an integrated ORM and compliance solution. The solution is designed to help firms meet compliance mandates such as Sarbanes-Oxley (SOX), as well as incorporate best practices for prioritizing business management and IT resources to support ORM and compliance objectives throughout the entire organization.
The partnership combines FileNet's Enterprise Content Management and Business Process Management functionality with Providus' flagship product, RiskResolve. RiskResolve provides a unified environment for managing and consolidating operational risk, controls and compliance objectives enterprisewide. As a result, users can access and retrieve FileNet-managed content, documents, contracts and archived data files directly from their RiskResolve desktop dashboard to verify, validate and measure the effectiveness of their control environment. "We believe greater access to content can make it easier to meet compliance guidelines and enterprisewide risk management goals," said Lee Roberts, chairman and CEO of FileNet, in the press release.