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News & Commentary
Content tagged with Compliance posted in June 2006
Instinet Releases Nighthawk to Hunt for Dark Liquidity, and more
News  |  6/29/2006  | 
Instinet Releases Nighthawk to Hunt for Dark Liquidity, PHLX Taps OES to Provide Outbound Routing for Electronic Equities Exchange, Electronic Trading Pressures U.S. Commission Rates to New Lows, Miletus Trading Develops Algorithm for Index Fund Managers
Compliance Newsflashes: Morgan Stanley Ponies Up Another $10 Million, and more
News  |  6/29/2006  | 
Morgan Stanley Settles With the SEC for Failing to Monitor Employee Accounts, Actimize and Albridge Develop Broker Compliance Solution, Tilney Investment Management Gets Compliance Help From Network Defence
AIG’s Lag Shows Wiggle Room In Breach Disclosure Laws
News  |  6/23/2006  | 
State-by-state variations in data breach disclosure legislation has allowed hacked firms to keep information quiet for extended periods of time.
Sun Targets Reg NMS at SIA Show
News  |  6/21/2006  | 
Sun Microsystems is preparing to make a big splash at the SIA Technology Management show with its multiple messages around Reg NMS, bird flu, market data and best execution.
Trading Newsflashes: Credit Agricole’s Cheuvreux Picks Reuters Tick Capture Engine for Algo Trading, and more
News  |  6/15/2006  | 
Credit Agricole's Cheuvreux Picks Reuters Tick Capture Engine for Algo Trading, ITG Completes Phase One of Macgregor OMS Integration, ATD Lauches Automated Execution for "Pinks and Bullies," FIX Flyer Relocates to Support Demand for Hosted FIX Service, Reuters Buys Applications Networks
Compliance Newsflashes: FSA Weighs In on Transatlantic Mergers, and more
News  |  6/15/2006  | 
EU Firms Won't Be Subject to SOX in LSE Takeover, Cox Urges Penny Quoting of Options, JWG-IT Signs First Members, Wachovia to Use Reveleus for Basel II
News  |  6/13/2006  | 
MiFID and Reg NMS will open up new business opportunities in market data sales for the European and U.S. markets, according to a Celent report.
PFPC, STN Address Compliance
News  |  6/13/2006  | 
As the October deadline for SEC Rule 22c-2 compliance nears, Wilmington, Del.-based PFPC announced it will provide a Web-based monitoring tool that will give fund companies access to PFPC's more than 50 million broker-dealer subaccounts and SunGard's 43 million retirement subaccounts.
News  |  6/13/2006  | 
With the launch of Transaction Tzar, eflow (Wells, Somerset, U.K.) now is offering an end-to-end transaction monitoring and auditing solution for all asset classes.
Authentication Gets Deeper
News  |  6/13/2006  | 
London-based Deepnet Technologies has responded to the user authentication guidelines of the Federal Financial Institutions Examination Council (FFIEC) with its recently released Unified Authentication solution.
Indirect Hit
News  |  6/13/2006  | 
Although MiFID has yet to fall on the EU, the global nature of the industry demands that U.S. firms pay attention to the changes at hand.
Airing Out The Laundry
News  |  6/13/2006  | 
The current regulatory scrutiny of anti-money laundering (AML) efforts in the financial markets is here to stay, according to a new report from Aite Group.
Careful What You Wish For
News  |  6/13/2006  | 
Just a few weeks ago, the providers of technology, services or just plain advice for Reg NMS compliance were anxiously awaiting this year's SIA Technology Management show in New York in hopes of signing many new deals and having a robust fiscal quarter.
Prioritizing E-Discovery
News  |  6/13/2006  | 
E-mail records create a unique problem: Employees consider e-mail to be private and informal while investigators consider e-mail to be a formal business record and will hold a company accountable for e-mails' contents.
Investor Education Director Wyderko to Leave SEC, and more
News  |  6/8/2006  | 
SEC Director Susan Wyderko to Leave Position, Former Regulator Launches Complaince Services Firm, DSTi Enables UCITS III Compliance in Risk Solution
Schwab Secures Online Activity With VeriSign, and more
News  |  6/1/2006  | 
Schwab Using Verisign for Online Security, FSTC on the Road to Better Authentication, Advanced Equities Selects Actimize

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