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News & Commentary
Content tagged with Compliance posted in October 2003
News  |  10/30/2003  | 
The MONY Group has deployed an email archiving and instant messaging solution to meet regulatory compliance requirements. But the instant messaging component is not being turned on just yet.
Grasso Goes, Reed is NYSE’s Quick Fix
News  |  10/27/2003  | 
Richard Grasso was recently ousted from his position as the chairman and chief executive of the NYSE.
Fear Factor
Commentary  |  10/27/2003  | 
Factor3 to offer a name-checking tool with its PACMonitor product suite.
https://www.informationweek.com/
News  |  10/27/2003  | 
Harvey Pitt has had plenty of experience with Wall Street's current word du jour: regulation.
Arthur Levitt Says There will Always Be Abuses
News  |  10/27/2003  | 
Arthur Levitt, chairman of the SEC from 1993 to 2000, is best known for leading the most pro-investor commission in history.
IT Challenge
Commentary  |  10/27/2003  | 
When it comes to instant messaging, firms must grapple with the fundamental question: Do you allow the deployment of multiple platforms or limit users to only one?
Fair or Foul?
News  |  10/27/2003  | 
Industry allegations of market timing have mutual funds clamoring to get into the fair-valuation game.
The Check’s In the Mail
Commentary  |  10/27/2003  | 
Financial-services firms are well advised to check their e-mail-retention policy against evolving regulations.
All I Want for Christmas ...
News  |  10/27/2003  | 
No longer satisfied with the hand-me-down technology of equities; fixed-income traders are getting order-management systems of their very own.
Finding a Needle in a Haystack
News  |  10/27/2003  | 
One of the main difficulties in complying with the U.S.A. Patriot Act is sifting through the huge amount of information firms process every day.
The Customer Isn’t Always Right
News  |  10/27/2003  | 
Although the Office of Foreign Assets Control's list of suspected terrorists and hostile nations has grown to over 3,500, and the Patriot Act mandates securities firms check new accounts against it, only 1,000 brokerages have watch-list-screening solutions.
CIO Sign Off?
Commentary  |  10/27/2003  | 
Considering technology is critical to creating a valid picture of the companies well being, do you think a company's top technology officer will ever be included in the final sign off - ultimately sharing the liability with the CFO and CEO?
Buy Side Takes a Beating at Sibos
News  |  10/23/2003  | 
To the surprise of few, industry players made asset managers the pinatas of this year's Sibos in Singapore.
End-to-End Compliance Solutions: Strategy First
News  |  10/17/2003  | 
Before you implement the latest compliance solution, focus on a more important, immediate matter: Your own, clearly defined compliance strategy.
CIP Hits the Street
News  |  10/2/2003  | 
Wednesday's deadline on Section 326 of the USA Patriot Act had firms evaluating their readiness.
Fear Factor
News  |  10/2/2003  | 
A new partnership helps Factor3 enhance its offering.


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