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News & Commentary
Content tagged with Compliance posted in December 2004
News  |  12/21/2004  | 
Reg NMS was just re-released last week and the document surprised everyone, notes Larry Tabb, CEO of the Tabb Group and Contributing Editor to WS&T. Tabb offers his perspective on the regulation, pointing out its winners and losers. "While this may sound tame, it has the teeth of a shark," he says, "and for better or worse it will shred many current market practices."
Compliance Newsflashes
News  |  12/16/2004  | 
Archipelago Holdings Selects Movaris for SOX Compliance; FIS Wealth Management Improves Compliance With Aggregated Client Data; Greenwich Technology and Relational Security Partner to Offer Solution for Third-Party Security Audits
Compliance Newsflashes
News  |  12/9/2004  | 
Capelogic Launches Fair Value Oversight System for SEC 38a-1 Compliance; Safecore Partners With EZECastle to Offer Hedge-Fund Compliance; Stifel, Nicolaus & Co. Selects Financial Tracking for Compliance Information
Compliance Newsflashes
News  |  12/2/2004  | 
Cargill Investor Services Selects Parlano MindAlign for Instant Messaging Transparency; LANsultants Uses C2C to Archive E-mail for SEC Compliance; SEC Delays SOX 404 Deadline for Some Companies; Study Says Enron E-mail Reveals E-mail Liability Remains a Significant Risk

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