• Best Practices
• Brochures & Whitepapers
• Business Benefits
• Business Goals
• Customer Successes
• News & Events
• Open Text Services

• Auditing
• Business Origination
• Checking & Deposit Account
• Corporate Strategy Management
• Credit Portfolio Management
• Cross-Selling Management
• Customer Acquisition
• Customer-Based Operations
• Development of New Offerings
• Evaluating Market Penetration
• Finance & Management Accounting
• Finance Operations
• Implementation in Business Management
• Implementation in Operations
• Interest Rate & Liquidity Management
• Loyalty Management
• Market Analysis
• Marketing & Customer Research
• Market Risk Management
• Operational Risk Management
• Payments/Check Order Operations
• Providing Documentation
• Provision of Advice
• Regulatory Compliance
• Rolling out to Sales
• Servicing of Existing Customers
• Trading Operations

Regulatory Compliance

Banks and capital markets companies face huge challenges in complying with new regulations. Companies have tended to manage regulatory change in silos, focusing narrowly on compliance and using compartmentalized regulatory controls. The greatest challenge is to make sure that this integrates into the core operations of the organization.

Types of compliance rules include the following:

• Internal company policies and procedures

• Industry standards, such as SEC 17A and NASD 30-10

• Government legislation and regulation, such as Basel II, International Financial Reporting Standards (in particular IAS 39), privacy and data protection laws, the Sarbanes-Oxley Act, and anti-money laundering legislation

Enterprise Content Management (ECM) solutions from Open Text for regulatory compliance deliver this functionality with the following components:

• Software: Archiving & Imaging, Business Process Management, Document Management & Collaboration, Extensions for Oracle, Extensions for SAP® Solutions, High Volume Document Processing, Knowledge Management, Report & Output Management

Supplemented by Business Content (e.g., predefined workflows) to give you a head-start in configuring workstreams and processes, Consulting Services, Training and Support tailored to meet your requirements.