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News & Commentary
Content tagged with Compliance posted in September 2006
NSCC Offers to Open Up Trade Fail Data Under Reg SHO
News  |  9/29/2006  | 
Cory Levine, Wall Street & Technology The National Securities Clearing Corp. (NSCC) has offered to work with the SEC to promote transparency in clearing and settlement by revealing closely guarded trade failure information sooner than it is currrently doing so. Forbes.com reported the deve
WS&T EXCLUSIVE PREVIEW: Actimize and LexisNexis Unveil CDD Solution
News  |  9/25/2006  | 
By Cory Levine, Wall Street & Technology In the modern age of electronic workflow and data management, paper-based processes increasingly are becoming a liability, which is why it was surprising to hear about the large full-service financial services institution that brought together compliance and fraud prevention vendor Actimize, and information services provider LexisNexis.
Registration’s Lingering Effects
News  |  9/18/2006  | 
It appears as though the ill-fated SEC hedge fund registration requirement will have a lasting effect on many in the hedge fund industry.
Compliance Newsflashes: FSA to be Given Greater Control Over LSE Regulation, and more
News  |  9/14/2006  | 
U.K. Government Shelters LSE from U.S. Regulations, OCC Expects Phishers to Exploit FFIEEC Deadline, Barclays Gets Phished
Compliance Newsflashes: Lobby Group Urges FSA to Reconsider MiFID Requirement, and more
News  |  9/7/2006  | 
FOA Attacks MiFID Best Execution Requirement, Securities Firms Continue to Struggle with E-mail, Used Smartphones and PDAs Expose Data in Resale

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