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News & Commentary
Content tagged with Compliance posted in February 2007
Getting the Daylight Savings Monkey Off Your Back
News  |  2/27/2007  | 
On the list of forthcoming projects for CIOs is updating their systems to handle the changes in daylight savings time (DST) (DST). The Energy Policy Act of 2005 will cause DST to fall weeks earlier this year than in years past. With that in mind, industry analyst TowerGroup has issued recommendation
The Money's in MiFID
News  |  2/21/2007  | 
U.K. recruitment firm Joslin Rowe released a notice this week of what it is calling a "recruitment timebomb" for MiFID consultants. With just nine months to go before EU financial institutions are expected to be compliant with the Markets in Financial Instruments Directive, demand is soaring for experts who can help firms reach compliance.
Brokers Back CSAs to Help Buy Side Achieve Best Execution and Pay Research Providers
News  |  2/21/2007  | 
In search of best execution, buy-side firms tap brokers' new commission-sharing arrangements to pay for valuable research.
RFA’s eHarbor Backs Up Hedge Fund E-Mail
News  |  2/15/2007  | 
New York-based hedge fund solutions specialist Richard Fleischman & Associates (RFA) released eHarbor, an e-mail data backup and restoration solution designed specifically with hedge funds in mind.
Paisley Consulting Released Its Enterprise GRC Platform
News  |  2/15/2007  | 
To help firms break down the barriers between audit, risk and compliance groups, Paisley Consulting released its Enterprise GRC (governance, risk and compliance) platform.
Trial and Error: When It Comes to Compliance, the Bare Minimum Isn’t Enough Anymore
News  |  2/15/2007  | 
Detwiler, Mitchell, Fenton & Graves' CCO Robert Jeffords Dumped Two E-Mail Archiving Providers Before Being Satisfied With His E-Mail Compliance
LSE Begins MiFID Consultation
News  |  2/14/2007  | 
The London Stock Exchange (LSE) announced that it has begun consultation with member firms on the services it will offer to keep members in compliance with MiFID. The exchange has built its services on the TradeElect platform, which will utilize preexisting connectivity and infrastructure to offer a familiar market model under MiFID. LSE will extend its marke
Deutsche Bank Securities in the Dog House
News  |  2/13/2007  | 
We missed out on this little tidbit late last week. Deutsche Bank Securities, Inc. (DBSI) was fined $1.275 million by NYSE Regulation in two separate actions involving conflicts of interest in its published research, and an employee who accessed privileged information from a former employe
Five Rules For Bringing Your Real-Life Business Into Second Life
News  |  2/13/2007  | 
With buy-side firms struggling to place a value on the research and services provided by the sell side, the status quo is no longer acceptable.
Deliberating on E-discovery and the Changes to the FRCP
News  |  2/13/2007  | 
New rule changes make undiscoverable electronic documents a serious legal liability for financial services firms.
Asset Managers Push Custodians to Offer Independent Pricing Services for OTC Derivatives
News  |  2/13/2007  | 
The exponential growth of OTC derivatives is forcing custodians to provide independent valuation services to their institutional clients.
Morgan Stanley and the Great $10 Bil. Trade Debacle
News  |  2/7/2007  | 
NYSE Regulation fined Morgan Stanley $300,000 for a failure to provide sufficient inhibitors and blocks within its trading system that led to a massive botched trade. According to the regulator, on the morning of September 1, 2004 a Morgan Stanley trader received instructions from a customer to unwind a portion of an existing swap, with an affiliate of the

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