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 June 2003
SEC Filings for Sale
News  |  6/20/2003  | 
Edgar Online (booth #1839), a Connecticut-based vendor specializing in communicating public-company information contained in Securities and Exchange Commission filings, has released a new solution for financial-services firms.
The Worm Has Turned
News  |  6/20/2003  | 
Financial institutions are struggling to comply with the SEC Rule 17a-4 requirements, which defines how information must be stored electronically in a non-erasable format, also known as Write Once Read Many (WORM) technology.
Regenerating Trust With Compliance Technology
News  |  6/20/2003  | 
Transparency and accountability are on everyone's mind in the financial-services industry as numerous corporate scandals have brought a wave of distrust from investors.
Anti-Money-Laundering Technologies to Peak in 2003
News  |  6/19/2003  | 
In order to gain greater control over the parameters and conditions of their operations, top-tier broker/dealers have been implementing comprehensive USA Patriot Act solutions.
Beyond Compliance, Toward Innovation
News  |  6/19/2003  | 
This year's Securities Industry Association's Technology Management Conference & Exhibit, themed "IT Matters," could have as easily been called "Nobody Wants to Go to Jail."
Execs Attend Tech Show with Disparate Goals
News  |  6/19/2003  | 
Attendees at the SIA Technology Management Conference & Exhibit wear badges that display practically every color of the rainbow. Yet, no matter what the hue of the nametag, one theme was echoed through many mouths: "Do more with less."
Playing Buy the Rules
News  |  6/18/2003  | 
Recent clarification and possible additions to the USA Patriot Act are forcing buy-side firms to step up to the plate.
Keeping IM in Compliance
News  |  6/17/2003  | 
Iron Mountain has released a new service aimed at helping financial institutions cope with instant-messaging compliance. The Boston-based provider of outsourced records and information-management services is teaming up with four instant-messaging-solution providers to offer instant-message archiving and retention.
Software Designed To Make Doing the Right Thing Easier
News  |  6/12/2003  | 
J.P. Morgan Chase's new products are intended to address the need for greater corporate accountability. If Martha Stewart had only had advance knowledge...
Asset Manager Chooses Compliance System
News  |  6/5/2003  | 
LatentZero goes to Glasgow to extend its investment-management reach.
USA PATRIOT Act Compliance
News  |  6/5/2003  | 
Regulators are indicating that effective compliance with the USA PATRIOT Act requires a top-down approach.

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.