Services:
Consulting:
Specialties

Special Engagements

Compliance

Business Continuity Planning

Data Auditing

Data Quality

Protecting Confidential and Regulated Data

Privacy

Business Intelligence

Target Marketing

Advantageware's The 21^st Sentryä division is expert at helping its clients respond to heightened scrutiny by government agencies (such as the SEC and  NASD), the public, and others. 

• Policies and Procedures - draft policies and procedures to “set the right tone” for compliance as recommended by COSO and others;
• Tactical Operational Solutions - assist clients to create and implement targeted solutions to eliminate quantified risks within their own organization, their third party, and/or their clients environments;
• Audits – perform audits in various compliance areas including review of human resources policies and processes for Equal Employment Opportunity (EEO) performance, data privacy of both financial and health data, the latter for a privately insured firm;
• Independent Reviews - provide an independent review of the financial system processes used for reporting results on 10-K’s, 10-Q’s, and other filings;
• Training – design and give sessions on compliance with both legislated and company-designed policies using stand-up teaching and remote conferencing.  Create web sessions for demonstrating system privacy features;
• Remediation – develop remediation strategies and related plans. Perform required remediation work. Develop and/or enhance ongoing Compliance Programs to reflect any required changes. Perform specialized training to bring Compliance Programs up to date;
• Compliance Data Models – develop compliance data models and tracking solutions which identify and facilitate the tracking of compliance-related data throughout the organization;
• Confidential and Regulated Data Protection Models - define types and levels of security in accordance with legal and business requirements; develop Data Protection Requirements; determine protection levels for all affected data; create a Data Protection Model and/or update the Compliance Data Model; and develop and/or update related policies and procedures;
• Patriot’s Act – perform specialized audits and process reviews to ensure compliance with the Patriot’s Act;
• Sarbanes-Oxley – create compliance tracking front-end systems, review client work on Section 404, streamline and reduce the overhead costs associated with the on-going SOX Compliance Requirements, perform "Compliance Tool" assessments and tool selection process, perform pre- and post-merger/acquisition SOX Compliance reviews;
• Gramm-Leach-Bliley – create privacy statements, inspect mailings and web postings, review record keeping on statement mailings, develop testing strategies and related case data and perform testing;
• HIPAA – (authored book) give seminars, assist with gap analyses, perform remediation, set up Compliance Programs; and
• Compliance Staff Recruitment - assist you with recruiting your Compliance Staff.

Advantageware and its The 21st Sentry™ have performed compliance work for brokerage firms, broker-dealers, major public and private corporations, insurers, health-care facility operators, and retailers. Advantageware’s The 21^st Sentry Compliance Central™ assists clients manage the creation, review, and filing of various forms such as 10-K and 10-Q. 

Would you like to hear more about this service?  We’d be happy to talk to you.  Just call us at 888.858.0800 (or in NYC, it's 212.319.1903) or send an email.

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