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The ABCs of ASPs
The application-service-provider model is gaining momentum as firms seek ways to lower the cost of technology adoption.
Building the Right Team
With no sign of waning regulations, compliance officers remain essential to the architecture of the securities industry.
Custodians Target Compliance
Firms that lack the technology, data or manpower to monitor compliance are looking to their custodian services for relief.
Bracing for Disclosure of Soft Dollars
The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research.
Up Front
Fraudsters Go Phishing; Things Are Looking Up; SOX on the Brain
COMPLIANCE NEWSFLASHES
NASD Orders First-Ever Suspension of Mutual Fund Business; Laserfiche Launches Upgrade for Compliant Document Management; Janus Capital Management Settles SEC Fraud Charges
Compliance Newsflashes
ZANTAZ Acquires Steelpoint Technologies; SIA Holds Mutual Fund Reform Updates Conference in October; WatchIT Releases New Program Aimed at Promoting Ethics and Compliance; RedMonk Report Recommends Service Approach to Compliance Issues
Operations Newsflashes
London Stock Exchange to Deliver Corporate Actions Data via SWIFT Network; BNY Securities Upgrades Commission Management Portal
SEC Outlines Its Five-Year IT Plan
The SEC has on its agenda collaborative technologies, knowledge management and workflow automation.
Can-Spam Isn’t Doing the Job
Data compiled by MX Logic says less than 1 percent of all unsolicited e-mail complies with the law.
Compliance Newsflashes
TowerGroup Report Estimates Increases in Compliance Waste; Offers Suggestions; Trema Introduces New Hedge Accounting Module; IT Compliance Conference Scheduled for Dec. 1-3, 2004, in San Francisco; Manulife Financial Implements Confluence's Clear Portfolio to Automate and Expedite Back-Office Procedures
Operations Newsflashes
Threadneedle Outsources Retail Business to BoNY; ADP Sees Demand for Disclosure of Proxy Voting Overseas
COMPLIANCE NEWSFLASHES
Franklin Advisers Settles Market-Timing Charges With SEC; Fidelity Brokerage Pays $2 Million in Document Alteration and Destruction Penalties
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