Compliance strategies and best practices

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  • SEC to small companies on SOX: Not off the hook

    The SEC rejected proposals to exempt small public companies from the most onerous of SOX rules, promising instead better guidance and a short reprieve for the littlest guys. 

  • Benefits of regulatory self-assessments

    Why should you pay for a nonbinding audit when you can prove steps of due care and due diligence on your own? Security expert Gary Miliefsky discusses the many benefits of regulatory self-assessments vs. external audits. 

  • Study: SOX-compliant firms see drop in costs in year 2

    According to a new report, companies following Section 404 of the Sarbanes-Oxley Act will see a decline in compliance costs in their second year. However, experts say IT spending on SOX compliance in general will continue to grow. 

  • Going paperless offers perks, perils for CIOs

    There are many benefits -- in addition to saving trees -- to moving toward a paperless environment. In his monthly column, James Champy offers advice on how to achieve a fully paperless atmosphere and take advantage of the many efficiencies technolog... 

  • Compliance costs too high, says SIA report

    According to a study released Monday by the Securities Industry Association (SIA), the cost of compliance has nearly doubled in the past three years. The good news: SIA says you don't have to be spending so much. 

  • Credit union takes top-down approach to compliance

    Regulatory compliance doesn't have to kill your IT staff. This credit union met regulations using a good framework, policies and procedures. 

  • One SMB follows Oracle down Sarbanes-Oxley path

    Symmetricom might be a pip-squeak by some standards, but it has to pay full freight on Sarbanes-Oxley compliance. The surprise solution? A giant vendor. 

  • Three reasons to recruit an ethics officer

    Ethics officers can help CIOs navigate the rising tide of compliance regulations. Find out how to make your case for one. 

  • Spending on Sarbanes-Oxley software climbs

    The Sarbanes-Oxley software market is still emerging and the picture remains murky -- so buyers beware. 

  • Top 10 CIO headlines

    Sarbanes-Oxley? RFID? Governance? Which IT topics did SearchCIO readers click on and check out in 2005? Find out here.