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 July 2004
Henssler Financial Finds a Suitable Match
News  |  7/29/2004  | 
With Entegra, the money management firm found an audit system to satisfy its needs.
Seattle Northwest Selects Storage to Satisfy the SEC
News  |  7/29/2004  | 
The investment bank chooses Permabit to solve its compliance challenges.
News  |  7/29/2004  | 
Business Solutions Provider Offers Global Compliance Service; Mutual Fund Compliance Program Launched
Product Watch
News  |  7/28/2004  | 
Want More Integrated E-Trading?; Displaying Treasury Data in 3-D; Extending the OMS;
Analyzing AML Audits
News  |  7/27/2004  | 
After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering.
Fast Facts From Radicati Group
News  |  7/26/2004  | 
Judge Sanctions UBS For Missing or Late E-Mails
News  |  7/22/2004  | 
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.
News  |  7/22/2004  | 
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
News  |  7/15/2004  | 
The Philadelphia Stock Exchange (PHLX) recently named Joseph Cusick vice president of regulatory programs.
News  |  7/15/2004  | 
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
News  |  7/8/2004  | 
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
News  |  7/1/2004  | 
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.

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.