Sarbanes-Oxley Tools
The tools listed below Sarbanes-Oxley are displayed on this site with a link back to the vendor organisation.
ABC
ABC (Accounting, Budget and Cost) is a centralized financial management system, providing general ledger, budget, cost allocation and statutory reporting functionality.
AccountControl
Not only is risk management an essential aspect of prudent business administration, the leveraging of client relations is also fundamental to the success of any organization. These factors have never been more important and, in fact, represent the essence of AccountControl.
ActivCard Token Digital Identity Devices
Replacing static passwords with strong two-factor authentication is an essential step for securing corporate networks, applications, and information assets. ActivCard® delivers this capability in the form of easy-to-use key chain and pin pad tokens. ActivCard Tokens combined with ActivCard AAA Server provide a comprehensive, high performance two-factor authentication solution right out of the box. Millions around the globe have made ActivCard digital identity technology an essential component for securing their online business systems.
Adaptiv
SunGard Adaptiv enables financial services institutions to implement trading and risk management solutions customized to their specific needs. Adaptiv Trading provides real-time, straight-through trading, portfolio analysis, risk management and processing. Adaptiv Risk provides enterprise-wide, integrated market and credit risk management. Adaptiv’s modular, extensible architecture helps financial services institutions to streamline trading and risk management operations while benefiting from lower implementation, upgrade and migration costs. Available on an in-house or hosted basis, Adaptiv uses Microsoft. Net.
Algo Suite
If recent market events, major corporate failures and significant financial volatilities have taught us anything it is the need to measure and manage all risks including market, credit, and operational. Increasingly, financial institutions are realizing the benefits of looking beyond individual transactions, to gauge risk on an enterprise scale, computing risk comprehensively across instruments, portfolios, business lines and geographies. This approach not only allows institutions to meet regulatory requirements but also to benefit from lower capital requirements, higher credit ratings, increased operational efficiency and an improved competitive position.
Align 4 SOX
Aline™ provides a 'knowledge' foundation for greater business alignment that can be used to integrate new and existing capabilities to further drive down cost of compliance...and ulitmately to TRANSFORM compliance into value for the business.…
Altiris® Compliance Suite (TM0
Altiris® Compliance Suite™ captures detailed software inventory of installed applications across the network, and tracks usage data for each Windows* application. The suite alerts IT staff when application installations exceed the number of purchased licenses. The correlation of software usage and inventory data with software licensing contracts provides a dramatic cost savings to IT organizations.
Report incidents, manage their escalation, track investigations and analyze resolutions.
Perform online risk assessments to determine the proper controls to implement on specific assets based on their use and risk to the enterprise.
Automate and manage Sarbanes-Oxley governance initiatives, assess compliance deficiencies by business unit and track remediation processes related to operational risk.
ASSIST//ck
ASSIST//ck® automates the monitoring, detection, investigation and reporting of suspicious activity. Using sophisticated algorithms, it learns and adapts to users' behavior patterns. When deviations occur in users' normal behavior profiles, ASSIST//ck automatically flags the activity and alerts compliance officers of the need for further investigation. This systematic identification reduces the administrative burdens and costs associated with manual compliance processes.
AutoAudit
AutoAudit software takes the paperwork out of work papers. It’s a comprehensive, fully integrated audit automation system that lets audit departments complete all of their work in a single database. With modules for risk assessment, planning, scheduling, work papers, reporting, issue tracking, time and expenses, quality assurance and personnel records, AutoAudit is the most complete way to update an audit department.
AvantGard for Corporations
As a premiere technology infrastructure and treasury technology provider, SunGard Treasury Systems is uniquely positioned to bring you AvantGard for corporations. As a SunGard Group company, we are able to combine the capabilities from a range of other SunGard business solutions to provide a greater depth of support and value to the treasury department and the executive financial management team.
AvantGard for Financial Institutions
AvantGard Treasury and Capital Markets solutions offer a unique technology infrastructure that provides business executives with economic alternatives to leverage efficient processing of financial transactions such as asset and liability management and high-end risk management, with the security that their major financial market risks are properly managed to a policy and reported accurately.
AXS-Link for SAP
AXS-Link for SAP™ is an integral part of the AXS-One Compliance Platform™. Certified by SAP, AXS-Link for SAP is a cross-application interface providing R/3 business applications with archive and records management functionality. AXS-Link for SAP utilizes SAP ArchiveLink® to securely link the SAP R/3 Systems with optical and other archive storage systems. AXS-Link for SAP offers the ability to:
AXS-One Compliance Platform - Records Management
Records Compliance Management
Corporate records – your corporate asset and corporate memory. AXS-One solutions for Records Compliance Management enable organizations to protect and utilize that content as an asset while reducing operational overheads and potential liabilities.
AXS-One Rapid-AXS
In a market increasingly dominated by issues surrounding compliance, corporate governance and legal discovery, the ability to search rapidly through mountains of e-mail and other electronic documents in order to comply with, for example, a discovery order has risen to the top of the executive priority list. As any organization that has responded to an audit or discovery order can attest, this is not an easy task.
AXS-One Retention Manager
provides a compliant framework for creating a corporate memory with expert recall for legal discovery and compliant destruction for continual risk mitigation. The solution reduces the inherent risks associated with retaining, managing and expunging the significant volumes and disparate types of records generated by organizations
BancWare Profitability
A data collection, transformation and management system that extracts, transforms, validates and loads raw data from subsidiary accounting systems into the format required to support financial analysis. BancWare Data Management enhances data by performing a series of banking and finance-specific calculations. Its aggregation features enable transaction level data to be grouped in unlimited ways for reports and data feeds. It also provides general ledger reconciliation functionality.
Provides credit, market and operational risk measurement in accordance with Basel II guidelines
Basic, standard and internal calculation options are pre-built and delivered in an advanced data warehouse based framework for consistency, accuracy and extensibility
BizFlow 9
BizFlow 9, HandySoft's award-winning Business Process Management platform, now provides end-to-end process management, superior event detection and response, complete interoperability with J2EE and web service environments extending collaboration across the value chain, simplified modeling with dynamic routing capabilities, and faster Forms development.
C5 EVM
C5 EVM determines the applicable risk levels for each enterprise asset
Capstone
Capstone is LatentZero’s complete front office product for asset management companies.
CardMap
SOX/Operational Risk & Enterprise Risk Management Capabilities on a budget
CASA (Continuous Audit by Self-Assessment) is a web-based tool to enable people within a company to confirm that controls and procedures and policies are being followed or complied with. CASA is essentially a questionnaire but it is also highly specified to ensure that the questions produce valuable answers that can be acted upon. CASA is also intended to help users, not just get information from them. It is designed to do this by giving users access to online procedures or best practice. By giving users their overall scores immediately and action plans for any improvements required, and by aggregating scores throughout an organization, the tool supports efforts to comply with corporate governance best practice. It also involves users in a positive way by giving the link between controls and procedures manuals, by facilitating training on these procedures and by giving a means of feeding back issues or comments on the operation to the centre.
CDOManager
RiskMetrics Group's CDOManager is designed to meet the growing needs of decision-makers throughout the structured credit marketplace. The application is unique, combining rigorous credit modeling of the collateral portfolio with detailed handling of the CDO waterfall structure.
CDS
CDS (Cash Disbursement System) is specifically designed to give insurance companies maximum control of their cash. It provides centralized control and reconciliation for all disbursements across the enterprise, including claim payments, agent commissions, invoice payments, and on-demand checks. Functionality includes purchase order tracking, accounts payable, check writing, EFT processing, bank reconciliation, and 1099 and abandoned property reporting.
Cobit Management Advisor
products :: it management & control software :: cobit 3rd edition management advisor
Compliance Calibrator
Regulatory compliance tool.
ControlBook
Regulatory compliance can be burdensome. But the cost of non-compliance can be devasting. SunGard's ControlBook solution solves both concerns for securities record keepers.
Corporate Bid Management
Corporate application initiation for Standbys (Performance, Advance Payment, Bid Bonds, Financial, Direct Pay, Insurance and Commercial) and Guarantees.
Cyota FraudAction
Cyota FraudAction™ is our end-to-end solution to financial institution email fraud and phishing. Using FraudAction™, financial institutions can not only know about an e-mail fraud attack, but can also proactively prepare for it and actively respond and control it. FraudAction is field-tested with proven results - cuts fraud losses by 50% and reduces the average lifespan of phishing attacks from 6 days to 5 hours. The service is in use today by several top American and British banks.
EnergyScope
Designed to service the full spectrum of energy trading markets (Coal, Electricity, Emissions, Gas, Oil and Petrochemicals), EnergyScope is a robust and flexible desktop application for the navigation and charting of energy market data and data retrieval into Microsoft® Excel spreadsheets.
EnergyServer
An open technology platform for the enterprise-wide consolidation, management and integration of energy data for business applications and special-purpose data stores, EnergyServer addresses the issue of data inconsistencies due to multiple disparate systems, tightening regulatory pressures, trade failure due to poor quality data, and the general lack of control of energy market data across an organization.
Entegrate
The Entegrate solution was developed to allow energy market participants to leverage the synergies and best functionalities that exist among our software solutions for the energy industry. Our strategy focused strategic R&D resources into an integrated solution based on open system architecture, and deployed via a thin client, Oracle 9iAS platform. With Entegrate, energy companies will benefit from a more tightly integrated, comprehensive and secure commodity trading, risk management, scheduling and asset optimization technology. This translates to lower overall cost of ownership, and ease of implementation and maintenance for its users.
Enterprise Accounting System
EAS (Enterprise Accounting System) is a functionality-rich financial accounting and reporting solution designed for insurance companies and their non-insurance affiliates. It provides one central repository for analysis and reporting by seamlessly integrating with internal and external systems. EAS' modular structure is flexible and scalable in order to meet the ever-changing demands of today's financial industry. Functionality includes general ledger, budget, cost allocations, accounts payable, accounts receivable, and statutory statement automation.
Enterprise Configuration Manager
Enterprise Configuration Manager (ECM) serves as the CMDB-based technology, into which its complementary add-on modules integrate: ECM Security Update Manager (SUM), ECM Remote, ECM for System Management Server (SMS) and ECM for Software Update Services (SUS).
Enterprise Filing System
EFS (Enterprise Filing System) is a functionality-rich statutory filing system for the insurance industry. It offers seamless integration and automated data input/transfer, thus significantly reducing the time spent on statutory filing. EFS is designed specifically to address the needs of the insurance industry. It's a proven and affordable solution for insurance companies of all sizes.
Enterprise Portfolio System
EPS (Enterprise Portfolio System) - An investment management system providing comprehensive accounting, reporting and decision-support for insurance companies of all sizes. Automated data entry, verification and online, real-time capabilities provide the foundation for a scalable, comprehensive solution.
ePal Service
An Internet-based investment management solution offering a front-to-back investment accounting and reporting service for UK asset managers of private clients.
ePresent
A secure, interactive, online electronic document management and delivery system that allows a financial institution to deliver statements, trade confirmations and any other documents via the Web. ePresent can be integrated with a firm's back-office or existing print source, allowing for seamless statement and confirm delivery as well as enabling advisors and support staff to deliver single documents to specific clients on the fly. Facilitating collaboration on the same document simultaneously, ePresent allows clients to interact with their financial advisor online, helping to strengthen the advisor/client relationship.
EventLogger
Centralized monitoring, consolidation and analysis of Event Logs.
Meeting audit requirements suggested by GLBA, HIPAA, Sarbanes-Oxley & others.
Event Correlation to pin point the exact problem.
Exchange Gateway
An interface system for retrieving trade information from the MISS or OM-Net architecture-based exchanges, and populating any back-office, middle-office or third party system.
FAME Time Series Database
The FAME Time Series Database (Forecasting, Analysis and Modeling Environment) provides a robust solution for storing and managing high-volume time series data, defined as information collected at recurring intervals over a specific calendar period.
FiRRe
Fee income is an important source of revenue for your institution. But too often, the complexities of creating and processing timely, accurate invoices can result in missed revenues and expense reimbursements.
Focus
A fast, easy way to Sarbanes-Oxley compliance
FundCount Office
FC Office software is an easy to use accounting back office solution for hedge funds, fund of funds, private equity funds and family offices. FC Office improves accuracy and efficiency of investment partnership and portfolio accounting. Comprehensive reporting, close integration with FC Web, ease of use and attractive price put FC Office ahead of the competition.
Global Margin Server
Global Margin Server (GMS) serves trading houses, CTAs, CPOs and hedge fund operators in the exchange traded derivatives and related options/futures business that have ongoing needs for accurate and timely margin calculations. GMS allows users access to initial margin calculations as well as intra- and inter-day variable margin calculations.
Hedge Fund Optmizer
Portfolio construction module (buttons 1 to 9) offers the possibility to construct fund of hedge funds and portfolio with hedge funds. It minimizes the probability of extreme risks. To do the optimization, we use a copyrighted algorithm. The fund of hedge funds has low probability to extreme negative risks. This is the most preferred module by our clients. This module offers advanced features like portfolio simulation, stress testing or volatility decompostion.
Hyperion Compliance Management Dashboard
Primarilily a Sarbanes-Oxley compliance tool, this can be configured to deal with industry or business specific standards. The long description is the launch press release.
Hyperion Compliance Management Dashboard
Primarilily a Sarbanes-Oxley compliance tool, this can be configured to deal with industry or business specific standards. The long description is the launch press release.
iComply®
Fischer Identity Suite™ is the only Identity Management solution built with compliance in mind.
Identity Suite
Fischer Identity Suite® is uniquely able to help your organization reap all the benefits associated with managing more risk, more securely, with less effort and without fear.
IMpower
A global, real-time, browser-based portfolio management, trading, accounting, performance measurement, and reporting system designed to meet the needs of an investment management firm. IMpower focuses on integrating the front- and back-office by automating the pre-trade and post-trade settlement cycle in order to achieve internal and external STP.
Infinity
A trading and risk management solution with integrated support for credit derivatives. The solution provides a performance driven distributed processing environment to support high volume trading and integrated market and credit risk management. Infinity is comprised of an open, fully documented and extensible platform, data model and suite of applications with multiple delivery options.
Insurance Outsourcing
Provides comprehensive investment accounting and reporting for the insurance industry. Leveraging the talent and expertise of SunGard's professional investment accountants with the strength of SunGard's investment systems, clients receive a premier level of service. Outsourcing clients have instant access to their complete investment accounting database for inquiry and reporting, providing complete control over all operations functions. By creating a variable cost structure, Outsourcing clients have enhanced control and benefit from a cost-effective investment accounting solution.
intelliSTOR
Empower employees, customers, and suppliers with access to valuable information through optimized report management.
intelliTracs
An automated exception processing solution that provides identification, assessment and control of message-based exceptions early in the transaction lifecycle to automate the resolution of reconciliation exceptions, customer inquiries, and failed STP transactions.
Invest One
A global, real-time, straight-through processing investment accounting solution that processes over $8 trillion in assets including pension funds, mutual funds, hedge funds, bank commingled funds, master trust accounts, offshore trusts, UK unit trusts, OEIC’s, money market funds, insurance portfolios, separate and private accounts.
InvestarOne
InvestarONE is a scalable and flexible global mutual fund shareholder system providing real-time processing, XML-enabled data, real-time APIs and capabilities within a relational database supported on a client/server and mainframe architecture. InvestarONE integrates with PowerImage (workflow and document management system), INVEST ONE (portfolio accounting system) and STN Funds (mutual fund trading network). E-business initiatives are supported with the InvestarONE browser and IVR products or through an XML-based API.
iSight
Application Usage Auditing & Analysis
IT Governance Center
Mercury IT Governance Center™ is the most comprehensive transaction system available for IT, covering the broadest spectrum of IT activities, including portfolio management, project visibility and control, IT services automation, and application change management.
IT Service Management Accelerator
Mercury IT Service Management Accelerator offers a pre-defined set of best-practices content — including workflows, request types, portlets, and reports — to support IT Service Management as defined by the ITIL best-practice framework.
Kalido 8M
Master data defines subjects such as products, customers, suppliers and brands. When effectively managed, it provides a consistent context against which business performance can be measured.
Effectively managing risk has never been more important or more challenging. Recent events—including terrorism, corporate malfeasance, and natural disasters, to name a few—have caused massive financial losses, led to huge reductions in shareholder values, and spawned a deluge of regulations. Today, organizations in almost every industry face unprecedented scrutiny when it comes to governance, risk management, and compliance (GRC).
LexisNexis® Anti-Money Laundering Solutions
LexisNexis® Anti-Money Laundering Solutions is your one-stop solution for anti-money laundering investigations and due diligence.
LiveAudit
DataMirror LiveAudit captures all data that is added, changed or deleted to create real-time audit trails that preserve historical information and enable companies to monitor and report on all operational activities on demand.
Quickly and comprehensively evaluate credit risk of portfolios
Identify potential problems in the credit risk portfolio
MindAlign
Parlano's MindAlign Enterprise Group Messaging & Collaboration Solutions help organizations transform their business by securely connecting employees, customers and partners with the right people, information and context to execute business processes more efficiently. MindAlign is the industry's most innovative and complete suite of group communications and collaboration solutions.
Movaris Certainty
Movaris Certainty™ dramatically reduces the time and out-of-pocket costs of Sarbanes-Oxley compliance, and it improves the overall financial control environment. Designed expressly for Sarbanes-Oxley compliance, Certainty allows you to document and review financial controls, schedule testing and evaluation of those controls, and prepare Section 404 and 302 compliance reports on demand.
OpenPages SOX Express
OpenPages Sarbanes-Oxley Express (SOX Express) is an enterprise compliance management solution that reduces the time and resource costs associated with ongoing compliance for Sections 302 and 404 of the Sarbanes-Oxley Act.
Operational Risk Management
Norkom's Operational Risk Management product gives you the ability to tactically identify, analyze, assess and manage your operational risk exposures, whilst also providing you with a framework to address your strategic goals of Basel II compliance and the USA PATRIOT ACT .
PacketSure
PacketSure is a network appliance that allows system administrators to block, monitor, log, shape or throttle LAN access to an expansive list of unproductive or potentially dangerous protocols and applications. You can choose to set rules from our default list or create your own custom rules to manage protocols unique to your network.
PPM - Project Portfolio Management
Automate budget control, project governance and compliance
Retailkey Loss Prevention
Analyses large transaction databases, searching for possible credit card fraud or transactional error. Especially tight on internal or staff fraud.
Supports the entire Operational Risk Management framework from Risk and Control identification and assessment to action planning, aggregation & reporting
Risk Navigator
Risk Navigator™ provides a platform for operational risk management, and has specific functionality to meet all of your Sarbanes-Oxley 302 and 404 needs. Risk Navigator has integration points for document management, control monitoring, business intelligence and internal audit. This integrated compliance architecture reduces the time and effort involved in gathering and reporting on compliance and risk management data.
RiskManger
RiskManager (RM) is a web application for the measurement and analysis of market-based Value-at-Risk (VaR) that implements the industry standard RiskMetrics™ methodology.
RSA Reporting & Compliance Manager
Extensive Identity & Access Management Reporting for Audit and Compliance.
Governments worldwide are enacting regulations aimed at protecting information. All of these global regulations share common fundamental requirements: to verify identities, to allow only authorized access to information, and to provide reliable audit reports.
RTG 3.0
Real-Time Guardian™ (RTG 3.0) is the most advanced perimeter security solution for blocking the spread of spyware and adware in the enterprise and securing unauthorized IM and P2P usage.
Sarbanes-Oxley Corporate Assessment Accelerator
Mercury Sarbanes-Oxley Corporate Assessment Accelerator™ is a complete solution for managing ongoing corporate Sarbanes-Oxley compliance. It provides out-of-the-box best practices content to manage the catalog of business processes, risks, controls, and tests for company-wide Sarbanes-Oxley compliance.
Sarbanes-Oxley IT Assessment Accelerator
Your company’s compliance mandates have become IT mandates. Being in compliance requires testing controls periodically – and quickly remediating any issues to ensure their effectiveness.
S-O Comply
onProject, Inc. has leveraged years of project management experience with 40,000+ companies as well as extensive audit methodology and risk assessment automation experience working with "Big Four" accounting firms to develop next generation audit tools for both internal use and in collaboration with their clients to offer S-O Comply. The multi-user resource software that enables companies to easily and affordably implement and monitor control activity.
SOXA Accelerator
SOXA Accelerator provides your company with the tools to establish and maintain rigorous internal controls and reporting procedures mandated by the Sarbanes-Oxley Act of 2002. Built on the solid foundation of BizFlow, our award-winning BPM Platform, SOXA Accelerator enables your company to look forward—beyond the compliance deadlines—to implement a comprehensive strategy for reducing control deficiencies, improving inefficient business processes, and managing operational risk across your extended enterprise.
Tesseract
Tesseract is a new decision support tool for all asset classes.
Tradar Portfolio
Portfolio's rich feature set includes integration with brokers, custodians, and data vendors with support for over 140 instrument classes. Real time portfolio data and automation of back office operations allows Managers to focus on investment strategies.
Unicenter ServicePlus Service Desk
Incident, Problem, Service Request and Change Management
Sarbanes-Oxley Bestsellers
The bestselling books on Amazon.
Articles
SEC Proposes Years Exemption on 404
GlobalSantaFe and Certus for Compliance
Sun Ups Ante for Identity Management
Not-For-Profits and Sarbanes-Oxley
Visit our site of the month Sarbanes-Oxley at www.sarbanesoxleyuk.co.uk