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A Note From The Editor Wall Street & Technology proudly introduces Advanced Trading, a quarterly publication that focuses on the sophisticated strategies and technologies that are driving the future of trading.
Shifting Gears -- People & Careers Whalen Named CIO of RJO; Lee Establishes Aite Group; Deloitte Appoints AML Authority; Keeping Tabs
IT Portfolio Prowess Investment managers aren't the only ones who need to manage portfolios. Now, the CIO does, too.
A Watchdog to Watch No longer neglected or rudderless, the SEC and CIO Corey Booth plan to make great strides to reshape its IT culture.
Making Monte Carlo Work A recent NASD rule change gives brokers at Commonwealth Financial Network a new tool to add in their investment analysis arsenal.
Compliance Newsflashes: Eze Castle Integration Unleashes vSite Disaster Recovery Service, and more stories Eze Castle Integration Unleashes vSite Disaster Recovery Service; PricewaterhouseCoopers and Sun Microsystems Partner on Identity Management Solution for SOX Compliance; TowerGroup Report Analyzes Role of IT in SEC's Move to Become a More Proactive and Effective Regulatory Body
Compliance Newsflashes: IMlogic Releases IM Manager for Instant Messaging Compliance, and more stories IMlogic Releases IM Manager for Instant Messaging Compliance; BearingPoint Offers Operational & Regulatory Response Services to Brokerage and Mutual Funds Sector; RippleTech Launches LogCaster for Sarbanes-Oxley; Fortiva Launches Hybrid Solution For E-mail Archiving, Compliance and Legal Discovery
Compliance Newsflashes: Plante and Moran Goes Live Selects Lync.NET for Compliance Oriented Trading, and more. Plante and Moran Goes Live Selects Lync.NET for Compliance Oriented Trading; iLumin Launches Assentor Mailbox Manager for Notes; Asigra Partners with EMC for Disaster Backup and Recovery
Risk in a Real-Time World The world is getting riskier. Not only has geopolitical strife changed compliance risk, but new trading, governance and capital-allocation mechanisms are changing traditional risk measures as well.
Hardware & Software As part of the extreme makeover of the National Market System, the SEC's Reg NMS proposes that market centers route orders to the venue that offers the best price.
Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them.
REG NMS Cheat Sheet A synopsis of the 371-page SEC document outlining the Regulation National Market System proposal
Compliance Newsflashes: ZANTAZ E-mail Archiving Solution Supports Lotus Notes, and more ZANTAZ E-mail Archiving Solution Supports Lotus Notes; Sovereign Bank Selects SAS for Anti-Money Laundering; Watchfire Launches Online Risk Management Platform; SunGard Acquires Protegent to Strengthen Brokerage Compliance Offering
Sovereign Bank Taps SAS Anti-Money-Laundering Software System will monitor transactions for fraudulent and terrorist-related activity.