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 August 2006
Compliance Newsflashes: Canadian Regulator Sounds Alarm on Online Brokerage Accounts, and more
News  |  8/31/2006  | 
IDA of Canada Uncovers Online Account Attacks, Wells Fargo Mixes a Security Cocktail, Italy's Banco Antonveneta to Use VASCO for Authentication
Compliance Newsflashes: Estonian Trader Settles With SEC, and more
News  |  8/24/2006  | 
SEC Fines Estonian Web Hacker, CMC Interactive Chooses SunGard for 22c-2 Compliance, HedgeOp Expands in Boston
Safend UpGrades Endpoint Security With Protector 3.0
News  |  8/22/2006  | 
Safend (Tel Aviv) is introducing version 3.0 of its Safend Protector product suite to provide access control and auditing capabilities for enterprise PCs and connected devices.
Get On the Omnibus: The Mutual Fund Industry Gears up for 22c-2
News  |  8/22/2006  | 
Mutual funds are focusing on omnibus account activity visibility and reporting as the compliance date for SEC Rule 22c-2 draws near.
Operational Risk Management Goes Global
News  |  8/22/2006  | 
New research from Celent (Boston) suggests that financial services firms across global regions will concentrate much of their spending over the next three years on operational risk management (ORM).
IT Not Aware of GRC Needs Says Compliance Pros
News  |  8/22/2006  | 
A survey of more than 200 governance risk and compliance (GRC) professionals, 37.8 percent of whom represent financial services companies, reports that the majority of respondents believe their IT departments aren't meeting the GRC needs of the business.
Compliance Newsflashes: SEC Seeks XBRL Tools for Web, and more
News  |  8/17/2006  | 
SEC Releases RFP for XBRL Web Tools, FaceTime and Proofpoint Partern for Email and IM Compliance, Kaplan Financial Launches Virtual Series 7 Training
Compliance Newsflashes: SEC Eases Up on SOX for Small and Foreign Companies, and more
News  |  8/10/2006  | 
SEC Announces Sarbanes-Oxley Relief, Kingston and Safend Partner for Port Security, FrontLine Offers Compliance Service for Hedge Funds
Compliance Newsflashes: NYSE Gets Approval for Options Trading, and more
News  |  8/3/2006  | 
SEC Approves NYSE's Options Platform, SEC to Open Probe Studying Effects of Regulation on Investors, Vanguard Using Adaptive Authentication From RSA
Jordan & Jordan Brings on Michael O'Conor as Director
News  |  8/3/2006  | 
Electronic trading expert and Merrill Lynch vet Michael O'Conor becomes Reg NMS consultant.

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.