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News & Commentary
Content tagged with Compliance posted in March 2004
Regulators Play Hardball with Soft Dollars
News  |  3/26/2004  | 
Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology.
Viewing SOX Holistically
News  |  3/26/2004  | 
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
News  |  3/2/2004  | 
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
News  |  3/1/2004  | 
Compliance and litigation readiness have blasted up the priority list of top management.
Patriot Act Compliance Isn’t Easy
News  |  3/1/2004  | 
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.
News  |  3/1/2004  | 
In a post-Sept. 11 world, financial institutions know better than to take compliance lightly.
Tue, 17 Jul 2007 11:30:56 -0500
News  |  3/1/2004  | 
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
News  |  3/1/2004  | 
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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