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News & Commentary
Content tagged with Compliance posted in February 2006
Schwab Announces Complete Account Fraud Coverage, and more
News  |  2/23/2006  | 
Schwab Stand Behind Customers With Fraud Guarantee, Fidelity National Announces Source Code Escrow Service, Corillian and StrikeForce Partner for Authentication Solutions, ActivIdentity Introduces New CEO
Morgan Stanley Settles E-Mail Dispute for $15 Million, and more
News  |  2/16/2006  | 
Morgan Stanley Offers $15 Million to Settle SEC Probe, CIBC World Markets Chooses GoldenSource for AML Compliance, Wells Fargo Picks Reveleus for Basel II, Passfaces Upgrades Its Authentication Solution
Morgan Stanley Settles E-Mail Dispute for $15 Million, and more
News  |  2/16/2006  | 
Morgan Stanley Offers $15 Million to Settle SEC Probe, CIBC World Markets Chooses GoldenSource for AML Compliance, Wells Fargo Picks Reveleus for Basel II, Passfaces Upgrades Its Authentication Solution
NYSE Regulation to Launch Ask Market Surveillance
News  |  2/16/2006  | 
Member firms and their compliance staffs will soon be able to search an online database for interpretive guidance on NYSE trading rules and submit questions to the NYSE's market surveillance staff.
Data Standards Take a Hit
News  |  2/14/2006  | 
With no fewer than five different data format "standards" currently in use industrywide the financial services industry is in desperate need of a universally agreed upon solution.
Hedgies Open Their Wallets
News  |  2/14/2006  | 
According to Greenwich Associates, the credibility afforded by SEC registration may become a necessary qualification for hedge funds .
Vetting Fraud Solutions
News  |  2/14/2006  | 
As competition in the fraud management space increases, Aite Group has issued recommendations for financial institutions.
Prioritizing for 06
News  |  2/14/2006  | 
Brokerage Teams Tackle Reg NMS as Deadline Looms
News  |  2/14/2006  | 
Reg NMS teams are swinging into action at brokerage firms as the June 29 deadline looms. But with so many rule clarifications still pending, preparations likely will come down to the wire.
Compliance for Less
News  |  2/13/2006  | 
Despite personnel and budget constraints, two small firms find proven solutions to fulfill their compliance needs.
Ticktock, Ticktock
News  |  2/13/2006  | 
Sometimes, time is on your side; sometimes, it's not.
Trading Newsflashes: EZX Connects Buy Side to Liquidnet
News  |  2/9/2006  | 
EZX Connects Buy Side to Liquidnet, Tullett Prebon Launches SwapMarker Plus, ATD Receives NASD Approval to Expand Market Making
Compliance Newsflashes: NYSE Brings Down the Hammer on Bear Stearns, and more
News  |  2/9/2006  | 
NYSE Fines Bear Stearns $1.5 Million, New Web Training From NYSE, Asset Control Partners With b-next for MiFID Compliance.
The Devil in the Details: Complying With the PATRIOT Act
News  |  2/7/2006  | 
Financial institutions opening correspondent accounts or private banking accounts will have to do their homework, and technology can help -- to an extent.
Japanese Banks Select RSA SecurID Tags, and more
News  |  2/2/2006  | 
Japanese Online Banking Customers Get a New Gizmo, R.R. Donnelley and EDGAR Online Offer Reporting Compliance Solution, Axentis Offers New Integration Platform


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