Recent surveys of C-level executives at financial services firms continue to highlight one theme: Compliance concerns have become one of the biggest headaches for management. With SEC-mandated e-mail and document-retention requirements, Sar-banes-Oxley, the USA Patriot Act and other regulations looming on the financial services horizon, executives increasingly are acknowledging the need to monitor compliance on an enterprisewide basis — not just in select divisions of the company. And many companies have started to assess or install compliance dashboard tools with which compliance officers, C-level executives or other managers can obtain a visual snapshot of the company's compliance outlook at any given time. But, are these splashy tools ? often featuring traffic lights, racing-car-style speedometers and even "Star Wars"-like imagery — truly helpful? And, what is needed to make these visually engaging tools most effective?
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