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News & Commentary
Content tagged with Compliance posted in June 2000
Fairfax Financial Licenses ePam
News  |  6/30/2000  | 
The company will be using ePAM at all of its sites, replacing a blend of proprietary and vendor applications.
Biometrics: Peeping Tom or Gatekeeper?
News  |  6/13/2000  | 
Merrill Lynch and other firms eye biometrics - technologies that authenticate the identity of an individual based on physiological or behavioral characteristics - as among the potential new security weapons to add to their arsenals.
Oaktree Capital on the Hunt for Compliance System
News  |  6/12/2000  | 
During its search, Oaktree is taking into account licensing requirements, pricing and whether the system is bundled with an order management system.
Working Group Formed to Address Increased Risk Disclosure
News  |  6/12/2000  | 
The Federal Reserve Board, the Office of the Comptroller of the Currency and the Securities and Exchange Commission have joined forces to advocate improving public disclosure of risk.
Nasdaq Overloaded with Capacity Issues, Defends Decimalization Delay
News  |  6/12/2000  | 
The Nasdaq grapples with capacity planning.
Euro Stock Exchange Allies on Common API Roll-Out Schedule
News  |  6/12/2000  | 
Sources say pan-European allies are on schedule to roll out a common application programming interface (API)-which will interconnect disparate trading engines, by November.
Compliance Rises to Top of Buy Side Tech List
News  |  6/9/2000  | 
With more complex instruments and strategies to track, pension funds and other institutional clients are pressing buy-side firms to make compliance part of the investment management process.
ClientXchange Monitors E-mail According to SEC Guidelines, Firm Policies
News  |  6/1/2000  | 
ClientXchange has introduced a new tool to monitor internal and external e-mail communications.
CAI Technology Group Preparing to Release Enterprise-Wide Buy-Side Compliance System
News  |  6/1/2000  | 
CAI Technology Group, a buy-side technology consultancy and systems provider, is gearing up to release by the end of this year a compliance system that checks trading activity across the entire firm.

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