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Shifting Gears: Paul Roye Leaves the SEC, and more Paul Roye Leaves the SEC; CTA Elects Chairman; Levin Heads TowerGroup EMEA; Keeping Tabs
Embracing Compliance In his first law of motion, Sir Isaac Newton stated that, "Every object in a state of uniform motion tends to remain in that state of motion unless an external force is applied to it."
Broker Research: What’s It Worth? As the SEC reviews the use of soft dollars and bundled commissions, asset managers are looking to technology to track commission payments and rank their brokers. But putting a price tag on broker research is proving elusive.
Capital Markets: Top 10 Strategic Initiatives for 2005 According to Framingham, Mass.-based Financial Insights, the following 10 strategic initiatives will drive technology spending in the capital markets in 2005.
Compliance Newsflashes: Erste Bank Group Selects Norkom to Combat Financial Crime, and more Compliance Newsflashes: Erste Bank Group Selects Norkom to Combat Financial Crime, Nedbank Deploys Searchspace's Anti-Money Laundering Solution
Compliance Newsflashes: AXS-One Releases Enterprise Financials Version 9.0 - Compliance Edition, and more AXS-One Releases Enterprise Financials Version 9.0-Compliance Edition, Richard Steinberg Speaks on Compliance and Risk at Regulatory Compliance Seminar Series, Algorithmics Unveils Algo Suite 4.5 for Basel II
Worth the Effort? SEC Roundtable Assesses Round One of SOX Section 404 Reports
Compliance Newsflashes: SEC Ruling Allows Broker-Dealers to Continue to Offer Fee-Based Accounts, and more SEC Ruling Allows Broker-Dealers to Continue to Offer Fee-Based Accounts, Procera Networks Launches OptimIP Compliance Executive, Application Security Offers Best Practices Policies for SOX Compliance
Compliance Newsflashes: Paisley Consulting and Smartpros Launch E-learning Center for Audit and Control Professionals, and more Paisley Consulting and Smartpros Launch E-learning Center for Audit and Control Professionals, iLumin Releases Assentor Upgrade for Enhanced E-Mail Management