Japan Compliance Taxonomy and CCO Survey 2007

IDC Opinion

In This Study

Methodology

Executive Summary

Situation Overview

Introduction

What is Compliance?

Definition of Compliance

Stakeholders and Governing Laws of the Compliance Market

Figure: Stakeholders and Governing Laws on Compliance

Table: Media Reports of Scandals by Japanese Companies, 2006

Internal Control

Internal Control Under the Company Law

Internal Control Under the Financial Product Trade Law (Japanese SOX)

Various Industry-Specific Laws and Compliance

Corporate Structure to Promote Compliance

Figure: Example of Compliance Promotion Organization Structure

Compliance Market Definitions

Figure: Compliance Market Classification

Compliance Infrastructure

Figure: Control Objectives of Compliance Infrastructure and Focal Areas of IT Use

Figure: Compliance Infrastructure Framework and Components

Compliance Infrastructure: Hardware Market

Table: Compliance Infrastructure Classification by Function: Hardware Market

Security Hardware/Appliances

Threat Management Appliances

Secure Content Management Appliances

Personal Authentication Devices

Storage Systems

Disk Storage Systems

Tape Automation

Compliance Infrastructure: Software Market

Table: Compliance Infrastructure Classification by Function: Software Market

Content Applications

Content Management Application

Litigation Support Software

Collaborative Applications

Integrated Collaborative Environments

Messaging Applications

Standalone Email Applications

Instant Messaging Applications

Team Collaborative Applications

Information/Data Management Software

Relational DBMS (RDBMS)

Pre-/Post-Relational DBMS

Object-Oriented DBMS (OODB)

XML Database Management System

End-User DBMS

Database Development/Management Tools

Data Integration/Access Software

Application Deployment Software

Integration Server Software Platforms (ISSPs)

Transaction Server Middleware (TSM)

Information Access/Delivery Software

End-User Query/Reporting/Analysis Tools

Enterprise Portal

Content Access Tools

Security Software

Identity/Access Management Software

Threat Management Software

Secure Content Management Software

Security/Vulnerability Management Software

Storage Software

Data Protection/Recovery Software

Storage Replication Software

Archive/HSM Software

File System Software (FSS)

Storage Management Software

Other Storage Management Software

Storage Infrastructure Software

Storage Device Management Software

Other Storage Software

System/Network Management Software

Performance Management Software

Change/Configuration Management Software

Problem Management Applications

Compliance Infrastructure: Service Market

Table: Compliance Infrastructure Classification by Function: Service Market

Information Security Services

Consulting Service

System Implementation Services

System Management Services

Education/Training Services

Storage Services

Consulting

Implementation

Management

Maintenance

Infrastructure Services

IT Audit and Design Services Related to Compliance (Preparation for the SOX, and so forth)

IT Infrastructure Consulting/Integration

eDiscovery/Litigation Support Services

eDiscovery (Electronic Disclosure) Strategizing Services

eDiscovery Document Management Solutions

Evident Storage/Forensic Services

Litigation Support Services

Governance, Risk and Compliance (GRC) Management Solutions

Figure: Governance, Risk and Compliance (GRC) Management Solution Platform for Financial Compliance

Table: Governance, Risk and Compliance (GRC) Management Solution Market: Financial Compliance Solution Classification

Compliance Management Solutions

Business Assurance Analysis Solutions

Financial Consolidation/Reporting Solutions

About Software On-Demand

CCO (Chief Compliance Officer) Survey

Situation Overview

Survey Objective

Survey Method

Survey Topics

Sample Profile

Table: Sample Profile by Industry

Figure: Sample Profile by Company Size

Figure: Sample Profile by Capital Size

Figure: Sample Profile by Consolidated Revenue Size

Figure: Sample Profile by Department

Figure: Sample Profile by Company Type

Figure: Sample Profile by Presence/Absence of Offshore Offices

Figure: Sample Profile by Presence/Absence of Listing in the United States

Establishment of Compliance Promotion Organizations

Compliance Promotion Organization

Figure: Existing Compliance Promotion Organizations

Table: Existing Compliance Promotion Organizations by Industry

External Organizations Used to Promote Compliance

Figure: External Organizations Used to Promote Compliance

Table: External Organizations Used to Promote Compliance by Industry

Table: External Organizations Used to Promote Compliance (First Priority) by Industry

Compliance Promotion System

Figure: Compliance Promotion Systems

Table: Compliance Promotion Systemsby Industry

Stakeholders in Compliance and Associated Laws

Important Stakeholders in Compliance

Figure: Priority Stakeholders

Table: Priority Stakeholders

Table: Priority Stakeholders (First Priority)

Priority Compliance Legislations

Figure: Priority Compliance Legislations

Table: Priority Compliance Legislations

Table: Priority Legislations (First Priority)

Compliance Infrastructure

Hardware/Appliance Implementation

Figure: Compliance Infrastructure: Hardware/Appliance Implementation

Table: Hardware/Appliance Implementation by Industry

Figure: Threat Management Appliance by Industry

Figure: Secure Content Management Appliance by Industry

Figure: Personal Authentication Device by Industry

Figure: Storage Product by Industry

Compliance Infrastructure: Software Implementation

Figure: Compliance Infrastructure: Software Implementation

Table: Software Implementation by Industry

Figure: Content Management Application by Industry

Figure: Collaborative Application by Industry

Figure: Information/Data Management Software by Industry

Figure: Application Deployment Software by Industry

Figure: Information Access/Delivery Software by Industry

Figure: Security Software by Industry

Figure: System/Network Management Software by Industry

Compliance Infrastructure: Service Implementation

Figure: Compliance Infrastructure: Services Implementation

Table: Services Implementation by Industry

Figure: Compliance Business Consulting by Industry

Figure: Compliance IT Consulting/System Integration by Industry

Figure: Compliance Education/Training Service by Industry

Figure: Compliance IT Outsourcing by Industry

Governance, Risk and Compliance (GRC) Management Solutions

Figure: Compliance Assurance: Governance, Risk and Compliance (GRC) Management Solutions Implementation

Table: Governance, Risk and Compliance (GRC) Management Solutions Implementation by Industry

Figure: Compliance Management Solutions by Industry

Figure: Business Assurance Analysis Solutions by Industry

Figure: Financial Consolidation/Reporting Solutions by Industry

Figure: Compliance Process Automation by Industry

Figure: Enterprise Risk Management Solutions by Industry

Other Products/Services Implemented with Compliance Solutions

Related Hardware Implementation

Figure: Hardware Implemented With Compliance Solutions

Table: Related Hardware Implementation by Industry

Related Software Implementation

Figure: Software Implemented With Compliance Solutions

Table: Related Software Implementation by Industry

Related Services Implementation

Figure: Services Implemented With Compliance Solutions

Table: Related services Implementation by Industry

Compliance-Related IT Budget, 2006

IT Budget, 2006

Figure: Total IT Budget, 2006

Compliance-Related IT Budget, 2006

Figure: Compliance-Related IT Budget, 2006

Figure: Compliance-Related IT Budget Breakdown, 2006

Figure: Compliance Services Budget Breakdown, 2006

Future Outlook

Compliance IT Budget, 2007

Figure: Total IT Budget Plans (Increase/Decrease), 2007

Figure: Compliance Budget Plans (Increase/Decrease), 2007

Use of IT for Compliance: Issues

Essential Guidance

Actions to Consider

Learn More

Related Research

CCO Survey Questionnaire

Systematic Compliance Efforts

The Use of IT in Compliance

Compliance-Related IT Budgets

Respondent Profile

Synopsis