Financial Services Firms Accelerate Shift To Cloud-Based Archiving For Compliance
[ Source: Bloomberg ]
July 2011-
A new Forrester Research study reveals how financial institutions are rapidly moving to hosted email compliance and storage services to deal with increasing costs, risks and regulations. Bloomberg commissioned Forrester Research to evaluate the current state of archiving and compliance in the financial services sector, capture enterprise expectations, and examine changes in anticipated application delivery models.
Manage Time, Effort, and Risk Associated with FIX Protocol Testing
[ Source: HP ]
June 2009-
FIX Protocol has become the industry standard for message exchange in the Financial Services Industry. However, the popularity of FIX is also associated with inherent challenges involved in testing this protocol. Complicated tag library, customized messages and constant upgrades are just a few of the challenges that testing teams have to manage. These challenges can be mitigated by bringing standardization and digitization to the testing process through the implementation of QA best practices, leading industry ...
BLUE FROG SOLUTIONS Annuity Replacement Evaluator
[ Source: Blue Frog Solutions ]
October 2007-
Newly approved FINRA Rule 2821 requires Financial Advisors to
perform an extensive analysis of fees and benefits when recommending
replacement of existing in-force (“like for like”) annuity contract. The
new rule will require the FA to obtain a copy of the existing contract and
compare its features against those of the new product being recommended
and to provide the client with a side-by-side comparison of the existing
and proposed replacement contracts. The newly required analysis
provides ...
SEC Examination - Are You Prepared?
[ Source: Advent Software ]
December 2007-
Elizabeth Cope, our guest speaker from Ashland Parterns and Co., teamed up with Tim Simons in 2004 to develop the services offered by Ashland Compliance Group. With several years of experience managing performance and compliance verifications, she was instrumental in designing a process that would be useful to our clients' broader compliance needs and work efficiently along with our more focused verification services.
Spector 360 Monitoring Software Overview
[ Source: SpectorSoft Corporation ]
October 2008-
This video shows how Spector 360 can keep employees productive and keep financial institutions safe and compliant with industry standards. An interview with a Spector 360 user highlights how the software helped one organization gain lost productivity. Spector 360 records all keystrokes, emails, chats and IMs (including web based), websites visited (and how long they spent), internet searches, files transferred by USB, CD, peer-to-peer networks or email, offline activities such as print jobs and files accesses, screen snap ...
The Top 5 Challenges for IT in the Financial Services Industry
[ Source: OpTier ]
March 2010-
Over the past few years, businesses worldwide have experienced the worst financial crisis since the Great Depression. But as the recovery starts to gain momentum, many IT professionals are now looking forward cautiously – and somewhat optimistically – to a better future.
IT initiatives can be divided into two broad categories, those aimed at merely staying alive and weathering the storm through drastic cost cutting measures and simply working smarter, and those focused on moving ...
The Top 5 Challenges for IT in the Financial Services Industry
[ Source: OpTier ]
March 2010-
Over the past few years, businesses worldwide have experienced the worst financial crisis since the Great Depression. But as the recovery starts to gain momentum, many IT professionals are now looking forward cautiously – and somewhat optimistically – to a better future.
IT initiatives can be divided into two broad categories, those aimed at merely staying alive and weathering the storm through drastic cost cutting measures and simply working smarter, and those focused on moving ...
The Dodd-Frank Act: Impact On Derivatives Technology Infrastructure
[ Source: Wipro ]
September 2011-
The US President Barack Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act on July 21st, 2010. The Act is essentially a 2,300-page introduction to a new financial regulatory environment that supposedly outlines the most sweeping changes since the great depression, and to the way business is conducted. However, it provides an incomplete road map for the regulatory financial future of the United States since it leaves a lot of details to ...