The Repercussion of MiFID and Reg NMS in the U.S.October 24, 2007U.S. institutions must educate themselves on the differences and similiarities between the two regulations to ensure they know the rules and are able to comply.
Regaining N.Y.’s Financial Glory?January 23, 2007The SEC's vote to reduce the impact of Sarbanes-Oxley by reducing audit and sign-off requirements on firms' financial controls is a positive step, but will it bring back growth to the U.S.'s financial markets?
On the OffensiveJanuary 23, 2007Capital markets firms enter 2007 amidst dramatic changes in their product offerings, customer relationships, organizational structures and markets.
Regaining N.Y.’s Financial Glory?January 23, 2007While the easing of Sarbanes-Oxley is something to celebrate, it won't bring the traditionally New York-based investment banking business back home tomorrow.
Developments on the HorizonJanuary 24, 2006Aging baby boomers, SOA, DMA, Reg NMS, algorithmic trading, Web-based automation and finding liquidity are a few trends to watch in 2006.
BPM: It’s All About EfficiencyNovember 18, 2005No financial services firm has yet developed a silver bullet for the competitive challenges looming in this highly competitive industry.
Self-Service Compliance October 27, 2005Cupertino, Calif.-based Certus Software extended its Governance Suite to include Governance360, which provides personalized access to compliance information and activities across the enterprise, integrating compliance practices into daily business routines
By the Dashboard Light October 26, 2005As regulatory concerns persist, many firms are turning to dashboard technology to simplify compliance initiatives.
Data: A Sea Change AheadSeptember 23, 2005If I'm reading the tea leaves correctly, we're on the verge of a sea change in the way organizations manage data.
Harnessing DataSeptember 23, 2005Financial services firms know that timely and accurate data leads to better business decisions (and also keeps regulators happy).
