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News & Commentary
Content tagged with Compliance posted in April 2006
Compliance Newsflashes: RSA Snatches Up Competition PassMark, and more
News  |  4/27/2006  | 
RSA Security Buys Authentication Vendor PassMark, Thomson Financial Acquires Market Systems, SunGard to Help OmniPlus Customers Comply with Rule 22c-2
Operations Newsflashes: Reuters and Novell Form Alliance, and more
News  |  4/27/2006  | 
Reuters and Novell Form Alliance, BlueBay Taps Into TLM, Schroders Outsources Middle Office, Putnam Investments Finds Coherence
Investment Management Newsflashes: Credit Suisse to Merge Private Banking Subsidiaries, and more
News  |  4/27/2006  | 
Credit Suisse to Merge Private Banking Subsidiaries, Northern Trust Gets Socially Responsible, AQR Capital Management Invests in Cisco, Old Lane Chooses Triple Point
Compliance Newsflashes: ICT and Actimize Team Up Against Online Fraud, and more
News  |  4/20/2006  | 
ICT and Actimize Combine Fraud Solutions, Gissing Developing MiFID Output Handlers
Keeping Tabs
News  |  4/18/2006  | 
Tony Soprano and My Social Security Number
Commentary  |  4/14/2006  | 
We live in a world of trust. We want to believe that everyone is good, and Ozzie and Harriet live next door. Unfortunately this world does not exist -- especially online.
High-Volume Stream Processor
News  |  4/14/2006  | 
Aleri Labs launched the Aleri Streaming Platform, a development platform for processing real-time streaming data feeds.
Beyond Registration
News  |  4/14/2006  | 
The investment community was fixated on hedge fund SEC registration for months leading up to the February 2005 deadline, especially managers who were challenged to file their Form ADVs.
Trading Partners
News  |  4/14/2006  | 
TD Ameritrade's CIO tightens vendor management in a consolidated environment.
Logistics of E-Delivery
News  |  4/14/2006  | 
An SEC proposal would make the Internet the default mode of delivery for shareholder proxy voting materials, but is it a good idea?
Playing Catch Up On Reg NMS
News  |  4/14/2006  | 
Four Keys to Stronger Online Security
News  |  4/14/2006  | 
New Phishing Twists
News  |  4/14/2006  | 
Compliance Newsflashes: Financial Services Companies Integrate Compliance and Financial Crime
News  |  4/13/2006  | 
Norkom Survey Reveals Move to Integrate Compliance and Financial Crime, AIG Counsel Patrikis Joins Law Firm, CC Pace and RiskWatch Partner to Focus on FFIEC Guidelines
Trading Newsflashes: Nasdaq Targets London Stock Exchange With 15 Percent Stake
News  |  4/13/2006  | 
Nasdaq Targets London Stock Exchange with 15 Percent Stake, Interactive Brokers Announces Winner of Trading Olympiad, RedSky Financial Taps Fitzsimmons as CEO, Pipeline's Volume Surpasses 35 Million Shares
SIA Appeals to SEC for Reg NMS Extension, and more
News  |  4/6/2006  | 
SIA Requests Reg NMS Reprieve, ABN AMRO Selects ControlGuard for Portable Device Management
Trading Newsflashes: NYSE to Launch Real-Time Open Book in May
News  |  4/6/2006  | 
NYSE to Launch Real-Time Open Book in May, Merrill Lynch and ITG Form Joint Venture to Create Global Block Crossing Service, EdgeTrade Signs Up Bley Investment Group for Quantitative Service Bureau, CBOT and eSpeed Unveil New Wireless Services
GAO Chides SEC for Vulnerable Data
News  |  4/4/2006  | 
The U.S. Securities and Exchange Commission is among a growing number of governing bodies criticized for failure to protect sensitive data.

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