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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.
Regenerating Trust With Compliance Technology
Transparency and accountability are on everyone's mind in the financial-services industry as numerous corporate scandals have brought a wave of distrust from investors.
Anti-Money-Laundering Technologies to Peak in 2003
In order to gain greater control over the parameters and conditions of their operations, top-tier broker/dealers have been implementing comprehensive USA Patriot Act solutions.
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.
Software Designed To Make Doing the Right Thing Easier
J.P. Morgan Chase's new products are intended to address the need for greater corporate accountability. If Martha Stewart had only had advance knowledge...
Asset Manager Chooses Compliance System
LatentZero goes to Glasgow to extend its investment-management reach.
USA PATRIOT Act Compliance
Regulators are indicating that effective compliance with the USA PATRIOT Act requires a top-down approach.
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