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.
Regulators Play Hardball with Soft Dollars Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology.
Viewing SOX Holistically It's a good thing that the Sarbanes-Oxley Section 404 deadline has been extended, as many on Wall Street weren't quite ready for the June 15 mandate.
Give Me a Break Breakpoints may give investors a break, but Wall Street's CIOs are working overtime to comply with regulators' wishes.
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management.
Patriot Act Compliance Isn’t Easy Financial institutions are finding that compliance with the USA Patriot Act is much more challenging than simply verifying a customer's address or watching for large wire transfers from mysterious foreign accounts.
Tue, 17 Jul 2007 11:30:56 -0500 Financial-services firms grapple with the multitude of compliance issues facing the industry. Is there an end in sight?
Institutions Find it Tough to Meet Sarbox Deadline As the first deadline for Sarbanes-Oxley compliance of June 15 nears, financial-institutions are finding that complying is more difficult than they had anticipated