The Critical Importance of Archiving in the Financial Services Industry
This white paper discusses the requirement for financial services firms to retain content of various types, and it discusses what organizations should do to satisfy these obligations. It also provides a brief overview of ArcMail, the sponsor of this white paper and a leading provider of archiving systems. Click here
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Data Loss Prevention White Paper [ Source: CDW ]
February 2013-
The capital markets industry runs on sensitive information. From confidential customer data and payment card account numbers to sensitive financial analyses, the lifeblood of financial firms is their ability to protect secrets.
Many financial firms invest significant time and energy into identifying sensitive information. Still, many fall short in their ability to detect and control the unauthorized leakage of that information.
Data loss comes in many forms. These range from the malicious insider ...
[WHITE PAPER]
Leveraging data for internal and external threat detection [ Source: IBM ]
February 2012-
In this technical white paper from IBM, learn how predictive analytics can be used to detect internal and external threats to your organization. You will learn how techniques including cluster analysis, anomly detection, time series analysis, social network analysis, predictive models and scoring can be used to detect suspicious activity in real-time so your orgnization can take action to minimize risk and increase positive outcomes.
As a final step, you will learn how ...
[WHITE PAPER]
Wash Sale Adjustments: Impact On Cost Basis Reporting [ Source: Wipro ]
September 2011-
Wash sale adjustment is one of the key components of cost basis adjustments. The author has used transactional analysis to explain the complexities, reconciliation techniques and recommendation of wash sale adjustments.
In this paper, the concept of sub-lot is introduced to track wash sale adjustments of high volume. This will facilitate reconciliation between the broker and taxpayer, identification of wash sales adjustments and will help to provide explanation to IRS (Internal Revenue Service) ...
[WHITE PAPER]
Protecting Your Online Channels and Web Applications [ Source: Akamai ]
May 2011-
Learn Why Protecting Your Online Channels and Applications is Critical.
This whitepaper gives a broad overview of the ways in which Akamai can help organizations bolster the security of their Web-based assets, with capabilities ranging across the application, network, and DNS layers, as well as solutions focused on Distributed Denial of Service (DDoS) mitigation and business continuity.
Leveraging its vantage point as the world's largest distributed computing platform, Akamai's EdgePlatform offers ...
[WHITE PAPER]
How to Defend Your Perimeter from Today's Outsized Threats [ Source: Akamai ]
May 2011-
Traditional perimeter defense solutions have not kept pace with the rapid growth in risk. Rigid, centralized defenses do not provide the flexibility or scale necessary to combat the outsized, adaptive threats facing today's IT infrastructure.
Cloud-based security services offer an innovative approach to helping organizations address the limitations of traditional perimeter solutions by adding a globally distributed layer of defense. This instantaneously scalable layer is designed to deliver a level of protection that ...
[WHITE PAPER]
Losing Customers Through Poor Financial Website Performance [ Source: Akamai ]
May 2010- Poor website performance leads to dissatisfaction more often than any other factor, particularly in financial services. As financial institutions add more features and functionality, have the basics of site performance and reliability fallen out of focus? Download this research study to learn more.
[WHITE PAPER]
No More Mr. Nice Guy: Risk and Compliance Strategies for 2010 [ Source: Progress Software ]
February 2010- What are the implications this year for compliance and risk managers, particularly for monitoring and surveillance? Find out how bankers are rethinking, rebuilding and redesigning in light of the themes emerging for 2010 and beyond.
[WHITE PAPER]
The Good and Bad of FTP - New Best Practices for a Compliance-Driven Infrastructure [ Source: Linoma Software ]
August 2009- Few managers realize the security and management risks that have blossomed in their organizations with the prevalent use of FTP. This paper demonstrates how you can bring FTP into a modern framework that increases IT manageability, while decreasing security exposures and adhering to growing compliance/auditing requirements.
[WHITE PAPER]
Best Practices in SOX Compliance [ Source: SkillSoft ]
March 2009- It is mandatory for public companies across the US to comply with the provisions of the SOX Act. Organizations may face financial penalties as well as reputational hassles in case of failure to comply, which can, in turn, lead to inefficient processes and controls within non-complying organizations. Experts believe that investors’ confidence in organizations can be shaken owing to lack of accountability, reliability, and accuracy in corporate disclosures. SOX experts believe that organizations fail these ...
[WHITE PAPER]
Authentication and Fraud Detection Buyer's Guide from Entrust [ Source: Entrust, Inc. ]
November 2008- The Entrust Authentication and Fraud Detection Buyer’s Guide guide has been developed to assist financial services organizations in identifying their requirements for an authentication and fraud-detection solution, and in selecting a solution that meets their security needs. It outlines key questions that should be considered during the selection process to ensure that the chosen solution will address the organization’s requirements both from a business and operational perspective.
[WHITE PAPER]
Increase Productivity Using Spector 360 to Monitor Financial Company Employees [ Source: SpectorSoft Corporation ]
August 2008- Spector 360 can help financial companies hold employees accountable. In this case study, this financial firm had no way to keep track of PC and Internet activity when employees worked with company-issued laptops in the office, at home, or on the road ... despite having an industry-leading Internet filtering program in place and a written Acceptable Use Policy. Enter Spector 360. With Spector 360, even the firm's Partners tell clients "we know all."
[CASE STUDY]
IT in the Financial Sector: Thriving in a Challenging Economy [ Source: Dell Software ]
December 2008- Today’s financial sector landscape is changing fast, and technology executives are asked to keep up with changing business needs. In a challenging economy, IT staff must integrate diverse technologies from consolidated institutions, solve compliance issues, and somehow figure out a way to do it under budget with less staff. In this new white paper, learn how maximizing efficiency in IT enables financial institutions to do more with less. With today’s mounting economic challenges, ...
[DATA SHEET]
Aveksa 3 for IBM Tivoli Identity Manager [ Source: Aveksa ]
February 2008- Many organizations have successfully implemented IBM Tivoli Identity Manager to leverage its automated provisioning capabilities for enterprise application administration and access control. This datasheet describes the benefits of deploying Aveksa 3 as an enterprise-wide solution for Access Governance complementing IBM Tivoli Identity Manager to deliver a complete access governance and compliance solution.
[DATA SHEET]
MiFID A Market Examination of Clients Classifications & Other Related Articles [ Source: ILOG, Inc ]
January 2007- This White Paper has been commissionned by ILOG to describe the issues for financial services firms in the European Securities Market relating to new regulations created as a result of the Market in Financial Services Directive (MiFID).
[RESEARCH/ANALYST REPORT]
Know Your MiFID Customer [ Source: ILOG, Inc ]
April 2008- The Market in Financial Instrument Directive (MiFID), a far-reaching piece of European legislation, is aimed at creating a unified European capital market and providing strong protection for investors. Everyone in the financial community offering investment services in Europe must conform to the MiFID provisions as enacted by the governing regulator. Of the new requirements, ILOG's Business Rule Management System (BRMS) is especially helpful in the following areas: Client classification, Suitability and appropriateness tests, and Best ...
[VIDEO]
At Wisconsin Capital, Compliance is Now Automatic [ Source: Advent Software ]
May 2008- Learn how this early adopter of Advent Rules Manager™ is streamlining compliance internally, improving accuracy, and showing clients and prospects that it is following best practices in compliance.
[CASE STUDY]
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