E-Security Cuts Costs and Time From Audit Preparation and Review for Fortune 500 Brokerage Firm

Topics:
Audits,
Financial Statements,
Sarbanes Oxley Compliance
Tags:
Audit,
Regulations,
Mutual Funds,
Human Resources,
Government,
GDS Publishing,
Fortune 500,
e-Security Inc.,
Compliance,
Brokerage,
...
Source:
GDS Publishing

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Overview: The customer is a Fortune 500 global brokerage firm offering securities and commodities brokerage, asset management, trust services, mutual funds, insurance, and investment banking to individuals. Although the company established well-documented policies to address regulatory requirements, they had no cost-effective way to monitor policy compliance across their multiplatform, multi-vendor IT environment. The security team required timely notification of policy violations and long-term metrics to demonstrate compliance with Sarbanes-Oxley, GLBA and other regulations. The customer uses Sentinel's flexible data collection capabilities to aggregate and correlate policy data from a variety of databases, operating systems, and applications, including instant messaging and remote e-mail.

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