Seven points financial services institutions should know about IT spending for compliance

Seven points financial services institutions should know about IT spending for compliance If financial services institutions (FSIs) do not comply with a variety of new regulations they can face criminal charges. Despite budget pressures they must therefore continue to invest in technologies in support of their compliance mandate. This paper describes the major regulations applying to FSIs and discusses IT spending to comply with those regulations. http://www.deepdyve.com/assets/images/DeepDyve-Logo-lg.png Journal of Financial Regulation and Compliance Emerald Publishing

Seven points financial services institutions should know about IT spending for compliance

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Publisher
Emerald Publishing
Copyright
Copyright © 2004 Emerald Group Publishing Limited. All rights reserved.
ISSN
1358-1988
DOI
10.1108/13581980410810876
Publisher site
See Article on Publisher Site

Abstract

If financial services institutions (FSIs) do not comply with a variety of new regulations they can face criminal charges. Despite budget pressures they must therefore continue to invest in technologies in support of their compliance mandate. This paper describes the major regulations applying to FSIs and discusses IT spending to comply with those regulations.

Journal

Journal of Financial Regulation and ComplianceEmerald Publishing

Published: Dec 1, 2004

Keywords: Compliance; Risk management; Regulatory mandates; Accounting standards regulations; Cost of compliance; Sarbanes‐Oxley; Basel II; IAS; USA; PATRIOT Act

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