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Henssler Financial Finds a Suitable Match With Entegra, the money management firm found an audit system to satisfy its needs.
Seattle Northwest Selects Storage to Satisfy the SEC The investment bank chooses Permabit to solve its compliance challenges.
COMPLIANCE NEWSFLASHES Business Solutions Provider Offers Global Compliance Service; Mutual Fund Compliance Program Launched
Product Watch Want More Integrated E-Trading?; Displaying Treasury Data in 3-D; Extending the OMS;
Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering.
Judge Sanctions UBS For Missing or Late E-Mails U.S. District Judge Shira Scheindlin found that UBS personnel deleted E-mails relevant to a gender-discrimination case; some were recovered from backup tapes and some were lost altogether.
Compliance Interactive Program Provider Shows Companies How to Limit E-mail Risks; SEC-Approved Business-Continuity Rules Effective Aug. 11; Seattle Northwest Securities Chooses iLumin Assentor to Manage E-mail; Survey Says U.S. Corporations Struggling to Meet First SOX Filing Deadline
false The Philadelphia Stock Exchange (PHLX) recently named Joseph Cusick vice president of regulatory programs.
https://www.informationweek.com/blog/main/archives/2007/07/7_apple_briefs.html LiveOffice and NRS Team Up on Compliance Requirement Package; Yaletown Technology Group Releases E-mail Capture and Management Upgrade; Study Shows Companies Continue to Struggle With Compliance
Risk Newsflashes Descartes Investment Management Deploys Sophis VALUE for Hedge-Fund Strategy; Landesbank Baden-Wurttenberg Selects Algo Collateral; Neuragenix Joins Mantas Global Alliance Program
The Flyswatter and the Neutron Bomb: Redefining Mutual Fund Governance The SEC a last week announced that outside directors must chair mutual fund boards and 75 percent of fund directors must be independent. This is like giving fund boards only two tools: the flyswatter that is easy to wield but has little impact, or the neutron bomb that impacts much but will be used little.