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Compliance » Regulatory Compliance
CaseCentral Extends eDiscovery Review Platform with Integrated Early Case Assessment
June 23, 2009CaseCentral's new platform enables clients to start with ECA and extend through analysis, review, production and post-production re-use, facilitating collaborative assessments of new case merits and liabilities.The Urgency and High Price of New Cost Basis Reporting Law
June 22, 2009 Even while many firms are unaware of new cost basis reporting requirements, the deadline for compliance is fast approaching -- and the cost to comply won't be cheap.Obama Plan Would Cut Number of U.S. Bank Regulators
June 17, 2009 The Obama administration plans to call for the U.S. Office of Thrift Supervision to close as part of its overhaul of financial regulation, which would also include the elimination of the federal thrift charter for banks.Kaplan Develops Solution To Meet New FINRA Regulations
June 15, 2009 Under the new regulation, firms are required to provide responses to the new disclosure questions for existing registered representatives by mid-November 2009.Still Stressed Over Bank Stress Tests
June 04, 2009 Although investors greeted the results of the government's banking stress tests with cheers, were the tests strict enough to help prevent another financial meltdown?World Federation of Exchanges Pledges International Regulatory Cooperation
May 28, 2009 The WFE, based in Paris, France, is an association of more than 50 regulated stock, futures and options exchanges worldwide.OTC, Central Clearing or Exchange-Traded: Choosing the Right Path
May 08, 2009 Increasing capital reserve requirements for OTC self-cleared products would change the economics of the marketplace and may nudge the indusrty toward an exchange-traded model.International Center For Financial Regulation Appoints First Chairman
March 09, 2009 The ICFR's mission is to address global financial regulation through thought leadership, scholarship and training for the global financial industry.Hedge Fund Compliance Tool to Meet New SEC Reporting Requirements
Firms Must Prepare for GIPS To Become Mandatory Reporting Standard
FINRA Names Vet Reg Ketchum To Succeed Schapiro
Oracle New Release Helps Firms Comply With Basel II
Clearwater Analytics Automates Reporting and Disclosure Requirements to Comply with FAS 157
Clearwater Analytics Automates Reporting and Disclosure Requirements for FAS 157
Regulatory Action and Market Conditions Will Force Banks and Hedge Funds to Tighten EDM Controls on Sensitive Files
Treasury Revamps Bailout Plan
Madoff and SEC Agree on a Partial Judgment
Obama Sets Limit on Executive Pay
SEC Posts Final Rule Mandating XBRL For Big Companies by June 2009
InvestEdge Equips Banks and Advisors with Turnkey Compliance
SEC Charges Nashville-Based Financial Planner With Fraud
Kaplan Compliance Solutions Unveils Client Concierge
HedgeOp Awarded U.S. Patent for ComplianceTrak Software
Nation’s Largest Investors Call for ’Green Recovery’
Cloud Computing Gives E-Discovery a Lift
Suspected NYSE insider trading reached record high in 2008
Four Ways President Obama Can Put the Economy Back on Track
Lombard Risk Rolls out New STB-Detector
SEC’s Schapiro Vows to Bring Tighter Regulations
DTCC To Expand CDS Data From Trade Information Warehouse
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