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News & Commentary
Content tagged with Compliance posted in November 2004
Preparing for Real Time
News  |  11/29/2004  | 
As municipal dealers attempt to meet MSRB's December deadline, Lehman Brothers offers a model solution.
SunTrust Banks May Not Make Sarbanes-Oxley Deadline
News  |  11/18/2004  | 
Problems with how loan-loss reserves are calculated are unlikely to be corrected by Dec. 31.
Alliance Leverages Confluence FundStation to Lessen Impact of SEC Hedge Fund Rule
News  |  11/18/2004  | 
In a 3-to-2 vote on Oct. 26, the SEC adopted Rule 203 (b)(3)-2 and related amendments requiring hedge fund managers to register as investment advisers under the Investment Advisers Act of 1940. Although managers have until Feb. 1, 2006, to comply with the rule, firms like New York-based Alliance Capital Management (ACM) are already looking to leverage existing technology to help lessen the impact of the new regulation.
Compliance Newsflashes
News  |  11/18/2004  | 
SIA Hosts Anti-Money Laundering Compliance Conference; J.M. Forbes Goes Live With INDATA for Modeling, Compliance and TOM; Factor 3 Releases Business Activity Monitoring Platform
Compliance Newsflash
News  |  11/11/2004  | 
PwC Survey Says Senior Execs' Data Management Strategies Not Measuring Up Despite Regulatory Requirements
MSRB Readies for Real-Time Switch
News  |  11/4/2004  | 
While most firms move ahead, a handful aren't signed up to certify systems.
News  |  11/4/2004  | 
SEC Approves New CEO Compliance Certification and CCO Designation Requirements; Tabb Group Predicts SEC Will Take More Proactive Approach Toward Business Continuity

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