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IBM is the largest information technology company, operating in over 170 countries. IBM strives to lead in the invention, development and manufacture of the industry's most advanced information technologies, including hardware and software and providing value to our customers through our professional solutions, services and consulting businesses worldwide.
IBM is a trusted leader in Information Management including Business Intelligence, Content Management, Database Servers and Tools, and Information Integration, helping customers simplify and integrate their data and reduce costs.
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Hummingbird brings a broad suite of capabilities to help corporations address the requirements of Sarbanes-Oxley. While technology alone will not enable a corporation to meet the regulations, it will provide an infrastructure that can be used in conjunction with business processes and education to deliver a new way of working that keeps the CEO and CFO out of jail. Hummingbird Enterprise is a suite of products that delivers document management, records management, workflow, collaboration, and business intelligence; all being required to help a corporation to meet the regulations. Delivering this functionality in a single integrated suite will allow a corporation to track, audit, manage, and retain all their financial information from the initial draft stage of the working papers to final approval of the financial reports that will be submitted to the SEC.
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Thomas Reding, IBM. CRM, Sr. Risk & Compliance Solutions Consultant
Topic: Virtual Records Management: Cutting Straight to the Regulatory/Legal Challenge
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Abstract
Enterprise Content Integration (ECI) Technology proves to be a significant key to discovering and cutting straight to the legal challenge of Enterprise Content Management solutions. The ECI layer has only recently appeared as a key element in the solution stack for Enterprise Records Management (ERM) and Enterprise Content Management (ECM) Solutions. ECI provides Records Managers two key pieces of this most puzzling challenge: First is performing federated searches across all data stores of the enterprise, both structure and unstructured data. Imagine if you will, receiving an audit or court ordered discovery request for any/all information in your enterprise dealing with a specific subject, project, and/or individual. Your goal is to ensure your corporate executives that you have in fact found and presented “all” information (from structure databases, data warehouses, as well as from unstructured e-mail archives, shared repositories, and various storage systems, etc.) pertaining to the request, nothing more/nothing less. Second, transparent e-records enablement of key work processes, business applications, repositories, and storage management systems of the enterprise (thereby ensuring the capture of all employee work products) in a manner that can be easily managed, maintained, extendable, and can be done at a reasonable price.
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Kevin J. Northover, Open Text Corporation, Director of Financial Services Solutions
Topic: An ECM Framework for Strategic Compliance Management
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Abstract
Well publicized corporate governance issues of the past few years have forced financial institutions to look in detail at the risks and controls of their operational processes. Drivers for this focus include Sarbanes-Oxley, Basel II, and investigations by states’ Attorneys General. Today, businesses must manage complex sets of information, whether contained in databases, emails, documents, paper, video, etc., and identify and control this material across the organization and through spans of years. While the problem of managing corporate records is not new, the emphasis on executing on it consistently is. Solutions require both a change in process and culture within the organization and technology to support and ease implementation.
This session will explain how Enterprise Content Management (ECM) platforms can bridge the gap between what is known to have happened and what the organization would strategically like to have happen by using a new approach to enterprise management of compliance and risk challenges, which includes an innovative framework to characterize a family of solutions. By bringing together support for a rich variety of collaborative processes and the ability to manage complex models of content, ECM platforms directly support the kinds of complexity required by this new generation of compliance and risk management applications.
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Lynn Fraas, DocuLabs, Inc., Vice President, Client Services and Operations, CDIA
Topic: Bringing Technology and Process Together For Proactive Compliance Management
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Abstract
As many of today's new regulations are affecting business in very different ways, companies are struggling to react effectively to new rules in a timely manner. To stay ahead of the curve your business must act offensively to build a strategy for migrating the business processes smoothly when new regulations come into effect. Using Sarbanes-Oxley as an example, this presentation will discuss how establishing a compliance framework will decrease exposure to the risk of not meeting the standards set forth by regulatory bodies. During this session Doculabs will discuss how companies can build the framework that encompasses technology and process to proactively respond to regulatory requirements. Participants will come away with an understanding of:
- The components required to take a proactive management approach to compliance
- The technology infrastructure that enables process driven response to regulations
- Best practices in highly regulated industries such as financial services and insurance
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