Global Regulators Give In To Banks Over Risk Rule January 07, 2013Regulators have eased requirements for liquidity rule originally designed to protect the global financial system. SEC Charges China Affiliates of Top Accounting Firms December 04, 2012U.S. regulators have
charged the Chinese arms of the world's five top accounting
firms with securities violations, raising tensions in a
regulatory standoff which experts say could kill off U.S.
listings for Chinese firms if not resolved. Toughest Job In The Financial Industry? July 19, 2011While many a financial executive might have quietly muttered their dislike of regulators, it has now emerged that these much maligned officials have had to deal with much more than a few grumbles.
Lack Of SEC Resources Could Be Biggest Hurdle For Volcker Rule January 21, 2011The SEC is getting stretched thin and Congress doesn't seem interested in providing more resources... Dozens Of Traders, Execs, Lawyers, Become Government Informants January 12, 2011For months, one former UBS banker secretly recorded telephone calls with four friends about pending deals and told investigators all he knew about their insider trading. SunGard Releases New VPM Portfolio Accounting Solution For Hedge Funds December 22, 2009SunGard's VPM version 9.0 provides hedge funds with an enterprise-level portfolio accounting application that is built on a service-oriented architecture for plug-and-play integration with a firm's existing applications. Regulators Urge Financial Firms to Get Risk Data in Order October 22, 2009Mergers and acquisitions have created for many firms a hodgepodge of databases that need to be integrated and normalized, a report finds. FINRA Fines Citigroup $600,000 for Failing to Supervise Trading Strategies October 14, 2009Firm also fined for failing to report trades to an exchange and inadequately monitoring Bloomberg messages. 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. Identity Theft Top Priority for State Legislators November 27, 2007More than 200 bills are currently pending at state level. 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. The Forest for the Trees January 30, 2006Maybe I have been a part of the industry for too long? The Forest for the Trees January 30, 2006Maybe I have been a part of the industry for too long? XBRL Hits the Street to Streamline Business Reporting September 04, 2002Nasdaq and PricewaterhouseCoopers team up to launch an XBRL-pilot program. USA Patriot Act Spurs Big Spending on Anti-Money Laundering Technologies April 03, 2002The USA Patriot sets forth comprehensive anti-money laundering requirements that financial-services are now moving to meet with new technology investments.