Wall Street & Technology is part of the Informa Tech Division of Informa PLC

This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 8860726.

News & Commentary
Content tagged with Compliance posted in October 2006
Allianz Phones Homes
News  |  10/25/2006  | 
When a nearby oil pipe burst, Allianz Global Investors was glad to have MessageOne's crisis communication solution in place for business continuity.
Compliance Handoff: Hiring a Full-Time CCO Is Proving Costly for Advisers and Funds, Which Are Now Outsourcing the Entire Compliance Department
News  |  10/20/2006  | 
As hiring a full-time CCO is proving costly, many small and mid-size firms now are outsourcing the entire compliance department.
Mystery Shopping for Effective Fraud Prevention
News  |  10/20/2006  | 
By comparing a combination of mystery-shopper tactics and Web site research against criteria in prevention, detection and resolution of identity fraud events, Javelin Strategy & Research ranked 24 financial institutions on how well they protected customers' identities.
Swiss Regulator Rails on SWIFT
News  |  10/19/2006  | 
Cory Levine, Wall Street & Technology Swiss banks have been accused of breaking their country's laws on data privacy, a charge that stems from their involvement in the SWIFT data-sharing debacle that was first exposed in June. According to a Finextra report, Switzerland's federal data protection commissioner, Hanspeter ThÜr, claimed Swiss banks broke national data protection laws by not informing customers
Wall St. Bests London in Both E-Mail Compliance and Compliance Evasion
News  |  10/16/2006  | 
Cory Levine, Wall Street & Technology E-mail communications on Wall Street are under considerably more scrutiny than those traveling through the London financial industry, according to new survey results from e-mail compliance vendor Orchestria. The survey conducted earlier this month questioned 300 people working on Wall Street in New York and in the City area of London

Register for Wall Street & Technology Newsletters
Exclusive: Inside the GETCO Execution Services Trading Floor
Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.