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IBM Banking: Governance and Compliance Solutions
IBM Banking: Governance and Compliance Solutions
Solution Brief
Inventory of Obligations
A proactive approach to compliance that takes into account an enterprise’s obli-
gation (and principles) towards customers, stakeholders and regulators to © Copyright IBM Corporation 2009
become compliant instead of responding to each future regulation separately
IBM Corporation
Route 100
Monitoring and Reporting: Somers, NY 10589
Provides a continuous automated virtual auditor-like function, which highlights Produced in the United States of
America
exceptions and deviations from the norms, with real-time compliance reports to
October 2009
Auditors and Regulators, enabling for business managers to take action All Rights Reserved
IBM, the IBM logo and ibm.com are
Basel II solution design from IBM trademarks or registered trademarks of
International Business Machines
Basel II was designed to help banks and financial markets firms strengthen risk Corporation in the United States, other
management and capital allocation strategies to yield significant long-term ben- countries, or both. If these and other
efits. Our years of experience can help you reduce cost of compliance; quickly IBM trademarked terms are marked on
deploy solutions to help with Basel II compliance, and leverage your trusted their first occurrence in this information
with a trademark symbol (® or ™), these
data sources and enabling technology. symbols indicate U.S. registered or
common law trademarks owned by
IBM at the time this information was
Global development and delivery for financial services from IBM published. Such trademarks may
Financial services firms are required to establish effective governance to opti- also be registered or common law
mize development, support business needs, meet regulations while striking a trademarks in other countries.
A current list of IBM trademarks is
balance between innovation and oversight. IBM software, services and experi- available on the Web at “Copyright
ence can help you optimize application development and delivery within your and trademark information” at
company and externally to allow you to comply with COBIT obligations ibm.com/legal/copytrade.shtml
around access, segregation of duty, change management, IT operations and Other product, company or service
application development. names may be trademarks or service
marks of others.
To help you enable projects to deal with the governance and compliance obliga-
tions your business must operate under, as well as other areas of Risk
Please Recycle
Management in Financial Services, the IBM Banking Industry Framework
has been established to combine the power of IBM software with banking-
specific software extensions, solution accelerators and best practices, to help
you deploy governance and compliance solutions faster and at lower cost and
risk. The IBM framework can help you migrate to a more strategic and flexible
technology architecture that is aligned with the needs of your business, one
project at a time. Take advantage of a structured approach that combines best-
in-class industry assets, repeatable software patterns and IBM Business Partner
offerings to take a holistic approach to monitoring and managing financial risk,
financial crimes detection and prevention, operational and IT risk, and gover-
nance and compliance.
IIS03005-USEN-00