Wall Street & Technology is part of the Informa Tech Division of Informa PLC

This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 8860726.

News & Commentary
Content tagged with Compliance posted in December 2005
NASD Goes on a $19.4 million Tear, ABA Endorses Searchspace, and more
News  |  12/22/2005  | 
NASD Fines Major Firms for Mutual Fund Shares Violations, Searchspace's AML Solutions Gets American Bankers Association Approval, Asset Managers Will Continue Focus on Compliance in 2006 Says Report
HSBC Learns the Hard Way, Bear Stearns Selects Orchestria, and more
News  |  12/15/2005  | 
FSA Fine HSBC for Erroneous Reporting, Bear Stearns Chooses Orchestria for Internet Communication Monitoring, and Kinetics Chooses SEI for Its Hedge Funds
Compliance Newsflashes: Weston Capital to Use Financial Tracking Technologies, and more
News  |  12/8/2005  | 
Weston Capital Automates Compliance with Financial Tracking, Best Practices Help Alleviate SOX Costs
Scottrade Customer Information Is Compromised
News  |  12/1/2005  | 
Discount broker Scottrade has notified some of its customers that their personal information may have been compromised due to a security breach at one of its vendors.
Asset Managers Adjust to SOX After Year One, Union Bank California Deploys Anti Money Laundering Solution
News  |  12/1/2005  | 
SOX Year One: How to Cut Costs, Union Bank California Implements SearchSpace AML Technology

Register for Wall Street & Technology Newsletters
Exclusive: Inside the GETCO Execution Services Trading Floor
Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.