Financial Services Compliance
Murtuza Vasowalla
Director of Global Solutions Consulting
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Travel Update: QUMAS Booth at SIFMA-CL in Orlando, Florida
Posted: 51 days ago
If you are attending SIFMA-CL next week, come by and say hello. I will be…
Read MoreIs SOX The Answer To All Things?
Posted: 51 days ago
Last week, I had the honor and pleasure of attending a seminar in New York…
Read MoreO Brother, Where Wert Thou?
Posted: 67 days ago
Funny how news stories from the recent past conjure up new streams of consciousness. I just…
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Linda Wolosz
Senior Compliance Advisor
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Putting it all together in the form of management information and governance.
Posted: 222 days ago
Over the past few days we have reviewed some legislative history, revisited several industry disasters,…
Read MoreRisk Assessments the backbone of risk models
Posted: 229 days ago
This series began with a background view of events that have caused legislators to mandate…
Read MoreOne definition of GRC
Posted: 236 days ago
The introduction to this series reflected on some historical legislation requiring assurance that management mandated…
Read MoreGovernance Risk and Compliance (GRC), where do we go from here?
Posted: 243 days ago
There is hardly a day that goes by without a financial services industry focused magazine,…
Read MoreRules, Policies and Procedures, a Bigger Challenge than Lions and Tigers and Bears? Oh My! Part 5, Ongoing Maintenance
Posted: 269 days ago
You are almost there. Your great feeling of accomplishment has been washed away by…
Read MoreRules, Policies and Procedures, a Bigger Challenge than Lions and Tigers and Bears? Oh My! Part 4, Inquiring Minds
Posted: 276 days ago
Last week I promised to highlight leading questions that might assist in the thought process…
Read MoreRules, Policies and Procedures, a Bigger Challenge than Lions and Tigers and Bears? Oh My! Part 3, Building Blocks
Posted: 283 days ago
The preceding overview covered the source of rules, the rapidity of change and the logical…
Read MoreRules, Policies and Procedures, a Bigger Challenge than Lions and Tigers and Bears? Oh My! Part 2, Overview
Posted: 290 days ago
Last week I poised the compliance challenge of creating, controlling and distributing the right policies…
Read MoreRules, Policies and Procedures, a Bigger Challenge than Lions and Tigers and Bears? Oh My! Part 1, Introduction
Posted: 296 days ago
The compliance department in a complex firm must rise to the challenge of creating, controlling…
Read MoreJust Don’t Say No
Posted: 327 days ago
A business colleague of mine currently manages a compliance function. A request from the…
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