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News & Commentary
Content tagged with Compliance posted in November 2006
Keeping Tabs
News  |  11/30/2006  | 
Rep. Lifecycle Management
News  |  11/30/2006  | 
Mid-Sized Firms Cheated in NYSE/NASD Merger?
News  |  11/30/2006  | 
By Cory Levine, Wall Street & Technology In a widely anticipated move, the NASD and NYSE Group this week announced their plans to merge regulatory arms into a single self-regulatory organization. The merger appears to be an effective play toward regu
FSA: U.K. Will Be OK in Flu Pandemic
News  |  11/28/2006  | 
Cory Levine, Wall Street & Technology While I was eating leftover turkey last week, London's Financial Services Authority (FSA) completed a resiliency test of its financial markets and found that in the event of a bird flu pandemic, the backbone of the U.K. economy would be able to continue operating.
Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes
News  |  11/21/2006  | 
The pressure to meet regulatory deadlines has resulted in siloed compliance activities across organizations.
Complexities Make Boards Worry
News  |  11/21/2006  | 
The emerging popularity of complex financial instruments is of major concern to financial institutions, as they'll be forced to respond to this increased demand via new products, revamped infrastructure and, perhaps most importantly, regulatory compliance, according to a new PricewaterhouseCoopers (New York) survey.
Ready for FFIEC
News  |  11/21/2006  | 
A new report from Boston-based Aite Group shows that the financial services industry is geared up for the Federal Financial Institutions Examination Council's (FFIEC) end-of-year deadline for outlining a plan for stronger online authentication.
In the News: Customer Account Security
News  |  11/21/2006  | 
How is E-Trade Financial ensuring the security of customer data and helping customers protect their identities and accounts?
The World After MiFID
News  |  11/21/2006  | 
London-based consultancy LogicaCMG explores the potential impacts of the Markets in Financial Instruments Directive (MiFID) and forecasts three scenarios that may play out in the E.U.'s capital markets over the next five years
FSIs Care More About Compliance
News  |  11/21/2006  | 
New research out of the Business Performance Management Forum (Palo Alto, Calif.) verifies the financial services industry's high prioritization of compliance as a business function.
Bharosa Announces Sterling Win
News  |  11/15/2006  | 
Fraud detection and multifactor authentication vendor Bharosa announced that Lancaster, Pa.-based Sterling Financial Corp. has signed on to use its solutions. Sterling chose the solutions to meet the year-end deadline for FFIEC recommendations.
The Big Board's Big Dog Nods at Regulatory Consolidation, SIFMA Appoints Co-Chiefs
News  |  11/10/2006  | 
Cory Levine, Wall Street & Technology In a speech at the Securities Industry and Financial Markets Association (SIFMA) launch event in Boca Raton, Fla, yesterday, NYSE Group CEO John Thain hinted at the future convergence of industry regulators. According to a Forbes.com report, T
It's a MiFID World, and Telekurs Is Just Living in It
News  |  11/8/2006  | 
Cory Levine, Wall Street & Technology Telekurs Financial, the Zurich, Switzerland-based market data provider, has laid out its plans to update its reference and market data products for the post-MiFID world. Some of the data required by firms to apply client classifications and best execution policies is already available, some
Hedge Funds Huddle Up
News  |  11/2/2006  | 
Cory Levine, Wall Street & Technology The alternative investment industry is getting ahead of the regulatory curve by forming an association focused on addressing legislative compliance and regulatory developments - the Alternative Investments Compliance Association (AICA). The effort has been organized by service provider HedgeOp Compliance and was founded by representatives from more than 10 alternative investment firms with a combin

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