Content tagged with Compliance posted in March 2005
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Compliance Newsflashes: Keeley Asset Management Selects Financial Tracking for SEC Compliance, and more
Keeley Asset Management Selects Financial Tracking for SEC Compliance, Travelex Selects Norkom Technologies' Anti-Money Laundering and Compliance Software, AOL Chooses FaceTime for Instant Messaging Security and Management
Internal Auditors
Traditionally, internal auditors have been feared by IT organizations. But, rather than view auditors as foes, technology executives must learn to embrace auditors' expertise.
Different Sides of Compliance
Compliance experts from both the buy side and sell side share their firms' top priorities for 2005 and technology's role in achieving them.
https://www.informationweek.com/
As hedge funds increase their use of direct-access trading, prime brokers may be assuming more intraday risk.
IT Budgets Looking Up
For U.S. securities and investment firms, 2005 marks the end of cost cutting and tight IT budgets, according to a report by the new Boston-based research firm Aite Group.
Compliance Newsflashes: NASD Hosts Compliance and Technology Conference, and more
NASD Hosts Compliance and Technology Conference; Providus and FileNet to Integrate Operational Risk Management Solution and Content Management Platform
SEC Increases IT Investments
The Securities and Exchange Commission (SEC) is getting a face-lift, and technology is playing a central role in its transformation. According to a recent report by Needham, Mass.-based TowerGroup, the SEC IT budget for 2005 -- $113 million -- is 2.5 times that for 2002.
Compliance Newsflashes: The Dreyfus Corporation Chooses BCL Technologies’ SECPublisher to Automate SEC Filings, and more.
The Dreyfus Corporation Chooses BCL Technologies' SECPublisher to Automate SEC Filings ; Protiviti and Tibco Introduce Integrated SOX Compliance Solution
Compliance Newsflashes: UMB Bank Selects Financial Tracking Technologies for Mutual Fund Compliance, and more
UMB Bank Selects Financial Tracking Technologies for Mutual Fund Compliance; SEC Extends Compliance Dates for Non-Accelerated Filers and Foreign Private Issuers
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Study Finds Provisioning Is Key Control for SOX Compliance; Tideway's IT Configuration Management Solutions Target U.S. Investment Banks; RSM McGladrey Says IT Security Biggest Risk for Financial Institutions; Euroclear Selects Norkom's AML Solution
Reg NMS: For or Against?
Reg NMS gives priority to fast markets that display automatically executable quotes and provides market centers with the ability to ignore manual quotes. It also will mandate either top-of-book or depth-of-book order routing.
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Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.
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