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News & Commentary
Content tagged with Compliance posted in July 2003
BNY Targets Research Database at Global Settlement Brokers
News  |  7/25/2003  | 
Electronic providers of independent-research reports are gearing up to cash in on the global settlement.
E-Mail & IM Compliance
News  |  7/17/2003  | 
LiveOffice Corporation, a provider of Web-based products for financial-services professionals, has integrated its proprietary instant-messaging (IM) monitoring and storage system into AdvisorMail, LiveOffice's regulatory-compliant e-mail monitoring, archival and retrieval solution.
Getting the Message
News  |  7/17/2003  | 
FaceTime Communications announced the availability of IM Auditor 4.0
Instant Messaging Clarified
News  |  7/17/2003  | 
The National Association of Securities Dealers sent out a notice to members clarifying the "supervisory obligations and record-keeping requirements for instant messaging."
A Conversation with Lehman Brothers’ Joe Abbruzzese
News  |  7/17/2003  | 
Wall Street & Technology recently held a half-day forum at which a panel of experts discussed the issues around e-mail and instant-message retention.
The New Dream Team
News  |  7/17/2003  | 
Batman and Robin. Bonnie and Clyde.
Compliance officer and CIO. Joining the list of dynamic duos comes the 21st century partnership of compliance officers and chief information officers. Yet, these two aren't appearing in any movies; instead, they're the hottest act on Wall Street.
Everyone Needs a CIO to Lean on
News  |  7/17/2003  | 
It was only about three years ago that the CTO of Merrill Lynch was named to the firm's executive board, signaling the growing importance of technology to the business of financial services.

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