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News & Commentary
Content tagged with Compliance posted in August 2007
SEC Appoints Lineberry, Plotkin Pleads Guilty to Insider Trading
News  |  8/28/2007  | 
The SEC's Office of Market Surveillance, which enforces regulation on U.S. markets, appointed a new head in Mark Lineberry. He steps in for Joe Cella, who resigned earliers this year, according to reports. Lineberry comes into the position during a flurry of activity surrounding insider trading. The SEC has of late stepped up its efforts to
Top CEOs Believe Globalization is Vital and Regulation Must Be Changed, NYSE Survey reveals
News  |  8/22/2007  | 
U.S. capital markets would stand to gain from government legal and regulatory changes, according to a new NYSE survey of 240 chief executive officers of the world''s top businesses.
LogicManager Releases Updated Sarbanes-Oxley Solution
News  |  8/22/2007  | 
Enterprise risk management (ERM) software provider LogicManager launched a new solution to address the recent changes to Sarbanes-Oxley.
Traditional Investigation Methods and New Tech Help Catch Insider Traders
News  |  8/20/2007  | 
As insider trading rises globally, regulators and banks are using complex event processing and remote-control software to catch rogue traders.
E-Discovery Compliance Growing Increasingly Difficult
News  |  8/17/2007  | 
As electronic data proliferates, complying with e-discovery rules becomes more difficult -- and more costly.
John Schmidlin Resurfaces at NYSE Regulation
News  |  8/6/2007  | 
Here's quick bit of appointment news from last week. Former JP Morgan Chase CIO, John Schmidlin has joined the board of directors for NYSE Regulation, the regulator announced. Schmidlin spent 35 years at JPMC, working his way up from management trainee to stepping down from the CIO position in 2004. Prior positions at JPMC included h
Reg NMS and MiFID: Preparing for the Data Flood
News  |  8/1/2007  | 
The introduction of Reg NMS and MiFID could cause a 900% surge in the amount of market data being published by 2012, according to a new study from TowerGroup . So, what will this market data explosion mean for technology at trading venues?

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