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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
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