Content posted in July 2004
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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
INVESTMENT MANAGEMENT NEWSFLASHES
Three Mutual Funds Join Account Management Web Site; Cheswick Investment Company Implements Centralized Data Model; Scottrade Deploys Latest Version of Factor 3 Broker Platform; Vanguard Investments Australia Selects SmartStream Solution
ELECTRONIC TRADING NEWSFLASHES
Citigroup Australia Directly Connects Its Clients to Australian Stock Exchange With CameronFIX SEATS Interface; Cantor Fitzgerald and eSpeed to Establish New World Headquarters in NYC; SG Corporate and Investment Banking to Implement Application Networks Inc.'s JRisk Risk Management System; MB Trading to Be Added on HyperTrader's Online Host System List of Available Brokers
OPERATIONS NEWSFLASH
First Hawaiian Bank Opts for Misys' Trade Innovation Solution to Manage Trade Finance Operations
Reinvesting in Change: Retooling the Trading Desk
We have finished another earnings season and we've done it again - we have confounded analysts as the securities industry has enjoyed another banner quarter.
Thu, 09 Aug 2007 18:58:11 -0500
Former Prudential CIO Lands at Exigen; Sang Lee Leaves Celent; BMA Expands Advocacy in Europe; Keeping Tabs
Product Watch
Want More Integrated E-Trading?; Displaying Treasury Data in 3-D; Extending the OMS;
Transparency in Tech Spending
Transparency in spending corporate funds has been - until recently - "nice to have." The change from "nice to have" to "need to have now" has been well publicized, on the heels of fraud cases like those involving Enron and Worldcom, and it has crystallized in the form of the Sarbanes-Oxley Act of 2002.
CIO Challenge
Wireless holds tremendous potential for financial-services firms, but implementing it across an enterprise is no easy task. Organizations must determine the best applications of the technology, find a way to integrate it with their legacy systems and then secure it all.
Gone Phishing
In the latest identity-theft scam, fraudulent e-mails trick individuals into coughing up passwords to 'secure' financial data.
Analyzing AML Audits
After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering.
SIA Unfurls STP Banner Again
In the latest drive toward industry-wide straight-through processing, T+1 takes a back seat.
Remedy for Reference Data
Hedge fund Citadel has reinforced its stronghold on Wall Street with a new data-management platform.
Buying Into Risk Management
Portfolio managers reduce risky business by perfecting risk management in the front office.
The Buy Side Takes Charge
Access to aggregators, crossing networks and algorithms is changing the buy-side trading desk.
The Dirty ’O’ Word
Data managers are no longer shocking us with talk about outsourcing - some of them are actually doing it.
Data-Management Matchup
Three data-management heavyweights step into the ring to discuss the details of data. With Tim Lind, a senior analyst in TowerGroup's investment-management practice, as the moderator, these three experts exchange insight.
After years of watching data disasters due to disparate databases, Wall Street firms are breaking down silos with enterprise integration
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Lehman Brothers' senior management understands the value of working with its heads of business lines.
Making Markets Move
The race to become a fast market may lead exchanges to join forces with ECNs.
Dear CIO...
What do you believe are some of the industry's top growth areas, and how is Lehman using technology to take advantage of these opportunities?
Innovation on the Horizon
Robert Iati, senior analyst at TowerGroup, has spent a lot of time thinking about what the future trading floor might look like.
Reinventing Themselves
If you look back at the late-'90s, when new ECNs were being introduced into the marketplace regularly and a huge rivalry had developed between the ECNs and the exchanges, the securities industry's last consideration would have been that the two would join forces.
BNY Brokerage Unveils Direct Execution Services
The Bank of New York's agency broker is jumping on the direct-access trading bandwagon, powered by its acquisition of Sonic Financial Technologies.
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
Investment Management
MFS Investment Management Buys New mValent Solution; Cohen & Steers Implements CharlesRiver Investment Management System; Web-Based Software Released for Money Managers Concerned About Corporate Practices; Transamerica Targets Consumers With Estate Planning Website Tool
Operations
Wachovia Chooses Optinfo for Exception Management; LCH.Clearnet to Use Calypso Technology to Handle Risk Management for SwapClear Service; Irish Hedge Fund Administration Company Tranaut to be Acquired by Global Giant JPMorgan Chase; ADP Offers Access to INET to Increase Transaction Execution Points
Electronic Trading
Wedbush Morgan Securities to Implement FTEN's "RiskXposure" Risk Management Service; Stuart Frankel & Co. has adopted FlexTrade's "FlexTRADER" Trading and Order Management System; Economist Named Chairman of COESfx Advisory Board
Schwab’s CIO Departs
Schwab's CIO Penney Departs, CyberTrader Sasson Named as His Replacement.
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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
Investment Management Briefs
Bank of New York Upgrades Information-Delivery and Transaction Platform; QED Releases Improved Portfolio Management System; Dutch Insurer Selects FMCSylvan Software Solution; London Stock Exchange Upgrades Real-time Data Product
Risk Newsflashes
Handelsbanken Picks Algo Collateral
Data Management Reigns Supreme
Focusing on a strong data management infrastructure is asset managers' technological priority.
Electronic-Trading Newsflashes
TransactTools Brings FIX Certification Testing for Fixed-Income to Market; Lehman Brothers Partners With Bloomberg to Offer Clients Direct Access to Its Algorithmic-Trading Models; FFastFill Is Acquiring Derivatives Software Provider Future Dynamics
Will Citigroup Acquisition Spoil Lava Trading’s Neutrality?
Citigroup plans to purchase Lava Trading, but analysts question whether the direct-access trading platform will continue to be broker-neutral.
Risk Newsflashes
Descartes Investment Management Deploys Sophis VALUE for Hedge-Fund Strategy; Landesbank Baden-Wurttenberg Selects Algo Collateral; Neuragenix Joins Mantas Global Alliance Program
Electronic Trading Newsflashes
Tullett Liberty and the Chicago Mercantile Exchange Launch TLFast Electronic Matching Tool for Derivatives Dealers; Integral Development Corp. Hires Gattuso to Push Global Sales of Electronic Foreign-Exchange Products; Patsystems Provides Trading Access to Japanese Exchanges via New Facilities Management Solution; Radianz Sells Its Voice Services Business to WestCom
true
The system known as Basel II will run parallel to current systems in 2007 and will take over in 2008.
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.
Risk Newsflashes
Liquid Capital to Use Rolfe & Nolan System for Derivatives Processing; Abbey Financial Markets Picks Summit Systems for Credit Derivatives, Front-to-Back Operations; FNX to Integrate Risk Analytics From Suite LLC
Electronic-Trading Newsflashes
DSTi Teams With NYFIX to Provide FIX Connectivity; Radianz Names Currenex's Garzilli to Spearhead Business in North America; CSFB Links Algorithmic-Trading Strategies to Portware; MacDonald Associates and Connamara Systems Collaborate on Customer-Service Initiative for QuickFIX
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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.
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