SEC Filings for Sale
Edgar Online (booth #1839), a Connecticut-based vendor specializing in communicating public-company information contained in Securities and Exchange Commission filings, has released a new solution for financial-services firms.
The Worm Has Turned
Financial institutions are struggling to comply with the SEC Rule 17a-4 requirements, which defines how information must be stored electronically in a non-erasable format, also known as Write Once Read Many (WORM) technology.
Beyond Compliance, Toward Innovation
This year's Securities Industry
Association's Technology Management Conference & Exhibit, themed "IT Matters," could have as easily been called "Nobody Wants to Go to Jail."
Execs Attend Tech Show with Disparate Goals
Attendees at the SIA Technology Management Conference & Exhibit wear badges that display practically every color of the rainbow. Yet, no matter what the hue of the nametag, one theme was echoed through many mouths: "Do more with less."
Playing Buy the Rules
Recent clarification and possible additions to the USA Patriot Act are forcing buy-side firms to step up to the plate.
Keeping IM in Compliance
Iron Mountain has released a new service aimed at helping financial institutions cope with instant-messaging compliance. The Boston-based provider of outsourced records and information-management services is teaming up with four instant-messaging-solution providers to offer instant-message archiving and retention.
USA PATRIOT Act Compliance
Regulators are indicating that effective compliance with the USA PATRIOT Act requires a top-down approach.