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News & Commentary
Content tagged with Compliance posted in June 2004
Hardware & Software
News  |  6/24/2004  | 
The standard covers section 404 of the Sarbanes-Oxley Act, which requires companies and auditors to attest to the effectiveness of internal control over financial reporting.
Product Watch
News  |  6/22/2004  | 
Legato Preps Firms for Subpoenas; Enigmatec Manages Infrastructure; Fidelity Offers Corp. Actions ASP; BT Syntegra Opens Trading Floor; Linedata's Holistic View; ZipLip Gets Proactive
Learning to Like Compliance
News  |  6/22/2004  | 
Speakers at InformationWeek Media Network's compliance forum are achieving compliance without disrupting their businesses.
STP’s New Driver: Compliance
News  |  6/10/2004  | 
Once a darling of the industry that brought people to conferences in droves, STP is back, according to some. But this time, compliance is driving STP efforts, STP itself.
Can Innovation and Compliance Be Balanced?
News  |  6/10/2004  | 
As budget spigots open, it is imperative that compliance technology remains a top priority if the current cycle of regulation is to stop.
FROM THE SIA SHOW: Proactive Surveillance of E-mail Content
News  |  6/8/2004  | 
With the regulatory crackdown on e-mail retention and retrieval, brokerage firms are scrutinizing broker-to-customer communications for words that make promises or guarantees.
FROM THE SIA SHOW: Legato Preps Firms for Subpoenas
News  |  6/8/2004  | 
Legato Software (booth #3512) is building a line of business around the capability of responding to one of New York State Attorney General Eliot Spitzer's subpoenas -- specifically, responding to large-but-specific requests from investigators for company e-mails.
FROM THE SIA SHOW: HyperFeed Focuses
News  |  6/8/2004  | 
HyperFeed Technologies (booth #1427) is going through a metamorphosis, and the company is eager to show the financial-services industry its new look at this year's Security Industry Association Technology Management Conference and Exhibit.
FROM THE SIA SHOW: FaceTime Targets
News  |  6/8/2004  | 
FaceTime Communications (booth #1620) is looking to cash in on the convergence of two factors -- an explosion in the use of instant messaging at financial institutions and regulations that require those communications be audited and archived.
A Letter From the SIA
News  |  6/8/2004  | 
This year's program reflects the expanded role of the information technology professional in the securities industry.
Product Watch
News  |  6/4/2004  | 
Cleansing Historical Data; Scaling for Multi-Style Accounts; Voltage Eases Encryption; NexTrend Offers Mock Accounts; Permabit Addresses Integrity; Adding Clients? Flip the Switch
Fund Fixes
News  |  6/4/2004  | 
Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers.
Mission: Business Continuity
News  |  6/4/2004  | 
Since 9/11, the DTCC has taken extraordinary steps to keep the financial markets out of harm's way.
2004: The Year of the Monkey
News  |  6/4/2004  | 
The SIA Technology Management Conference has become one of those annual rights of passage for our industry, similar to the cherry blossoms in D.C. or Opening Day for the Yankees.
10
News  |  6/4/2004  | 
Michael Goff prepares T. Rowe Price for the economic upturn with a long-term strategy.
A New Look for WS&T
News  |  6/3/2004  | 


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