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Governance, Risk, and Compliance Handbook: Technology, Finance, Environmental, and International Guidance and Best Practices by Anthony Tarantino

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CHAPTER 18

WHAT TO LOOK FOR IN ENTERPRISE CONTENT MANAGEMENT FOR COMPLIANCE

Julia Koo

18.1 INTRODUCTION

18.2 FINANCIAL COMPLIANCE PROCESS

18.3 STANDARD REQUIREMENTS

18.4 ADVANCED REQUIREMENTS

18.5 NEXT GENERATION ECM SYSTEMS

18.6 CONCLUSION

REFERENCES

Enterprise content management (ECM) systems are important compliance investments because they reduce the risk of corporate scandals around discovery, alteration, or inappropriate destruction of documents and e-mails. These scandals are results of proliferation of poorly managed unstructured data (content). ECM's components, including content management, document management, record management, and process management, help to eliminate process gaps that make these scandals possible. This chapter discusses standard, advanced, and next generation compliance-related requirements of ECM systems.

18.1 INTRODUCTION

Due to rapid and accelerating explosion of all types of content, including documents, e-mails, instant massages, images, and the like, the need for creating an enterprise-wide content management system becomes crucial. ECM can ensure security and provide a full audit trail in content change, access, and destruction. This facilitates discovery and manages the proliferation of sensitive content. As a result, better ECM helps companies to better address the risk of noncompliance with regulations.

18.2 FINANCIAL COMPLIANCE PROCESS

The financial compliance process involves many ongoing, quarterly, and annual activities. Exhibit 18.1 ...

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