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News & Commentary
Content tagged with Compliance posted in April 2004
News  |  4/27/2004  | 
Angstadt Promoted at Archipelago; JPMorgan Investor Services Appoints New CTO; DTCC Stresses Security with Carey; People on the Move
Product Watch
News  |  4/27/2004  | 
Ethics 101 for Advisers; A Black Box for Funds; On-the-Go Speakerphone
SEC Sets Back SOX
News  |  4/27/2004  | 
Sarbanes-Oxley deadlines are delayed, but firms find little solace in the regulation's extension.
Expansive Training Essential To AML Program Success
News  |  4/21/2004  | 
Just because you have the right technology in place to combat money laundering doesn't mean your AML program will be successful.
Conflicting Priorities
News  |  4/21/2004  | 
Though it is well known that technology projects should be driven by business priorities, a new study by Framingham, Mass.-based Financial Insights finds that the buy side is having a tough time with this concept.

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