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News & Commentary
Content tagged with Compliance posted in April 2005
Shifting Gears: Paul Roye Leaves the SEC, and more
News  |  4/27/2005  | 
Paul Roye Leaves the SEC; CTA Elects Chairman; Levin Heads TowerGroup EMEA; Keeping Tabs
Embracing Compliance
News  |  4/27/2005  | 
In his first law of motion, Sir Isaac Newton stated that, "Every object in a state of uniform motion tends to remain in that state of motion unless an external force is applied to it."
Broker Research: What’s It Worth?
News  |  4/26/2005  | 
As the SEC reviews the use of soft dollars and bundled commissions, asset managers are looking to technology to track commission payments and rank their brokers. But putting a price tag on broker research is proving elusive.
Capital Markets: Top 10 Strategic Initiatives for 2005
News  |  4/22/2005  | 
According to Framingham, Mass.-based Financial Insights, the following 10 strategic initiatives will drive technology spending in the capital markets in 2005.
Compliance Newsflashes: Erste Bank Group Selects Norkom to Combat Financial Crime, and more
News  |  4/22/2005  | 
Compliance Newsflashes: Erste Bank Group Selects Norkom to Combat Financial Crime, Nedbank Deploys Searchspace's Anti-Money Laundering Solution
Compliance Newsflashes: AXS-One Releases Enterprise Financials Version 9.0 - Compliance Edition, and more
News  |  4/15/2005  | 
AXS-One Releases Enterprise Financials Version 9.0-Compliance Edition, Richard Steinberg Speaks on Compliance and Risk at Regulatory Compliance Seminar Series, Algorithmics Unveils Algo Suite 4.5 for Basel II
Worth the Effort?
News  |  4/14/2005  | 
SEC Roundtable Assesses Round One of SOX Section 404 Reports
Compliance Newsflashes: SEC Ruling Allows Broker-Dealers to Continue to Offer Fee-Based Accounts, and more
News  |  4/12/2005  | 
SEC Ruling Allows Broker-Dealers to Continue to Offer Fee-Based Accounts, Procera Networks Launches OptimIP Compliance Executive, Application Security Offers Best Practices Policies for SOX Compliance
Compliance Newsflashes: Paisley Consulting and Smartpros Launch E-learning Center for Audit and Control Professionals, and more
News  |  4/1/2005  | 
Paisley Consulting and Smartpros Launch E-learning Center for Audit and Control Professionals, iLumin Releases Assentor Upgrade for Enhanced E-Mail Management


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