Content tagged with Compliance posted in October 2005
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Roney Joins Rosenblatt Securities
Charles Roney recently joined New York-based Rosenblatt Securities as a vice president and chief compliance officer.
Self-Service Compliance
Cupertino, 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.
Understanding the Stakes
To get a better handle on their organizations' risk exposure, many firms are turning to enterprisewide risk management.
Costly Timing
Ultimately, fund shareholders will pay a high price for the mutual fund industry's market timing scandals of 2003.
By the Dashboard Light
As regulatory concerns persist, many firms are turning to dashboard technology to simplify compliance initiatives.
A Brave New World to Trade
I am on my way home from the CLSA Investors Forum in Hong Kong, and, after a week in Asia, the only thing I can think of is how egocentric I am.
Resurrecting the Regionals
With Reg NMS on their side, the regional exchanges are enhancing their technology and seeking partnerships to better compete with the NYSE and Nasdaq.
Fixed Income Meets the Black Box
Segments of the fixed income market already are knee-deep in algorithms, but opportunities in the dealer-to-customer market are limited.
Federal Reserve Chairman Nominee Bullish On IT
Outgoing chairman Alan Greenspan was an outspoken advocate of IT. In a time when mainstream business leaders are skeptical of the value of IT, Ben Bernanke, named as Greenspan's possible successor, sees IT as a valuable investment when done right.
SEC Fines Instinet and INET $1.4 million for Inaccurate Order Execution Reports, and more
SEC Fines Instinet and INET $2.2 million for Inaccurate Order Execution Reports, Amex Plans to Roll Out New Trading System in 2006, Aspect Capital Deploys Progess Apama Algorithmic Trading Platform for FX, SFTI B2B Connects to Philadelphia Stock Exchange and INET, JPMorgan Goes Live on T-Zero
Axentis Introduces New Capabilities for SOX Compliance
Axentis introduces new capabilities for SOX compliance
Financial Tracking Adds CIT for Automated Compliance Solutions, and more
Financial Tracking Adds CIT for Automated Compliance Solutions, Dun & Bradstreet Launches Group to Serve Compliance/Risk Needs of Firms
Sky Investment Group Live With Indata, and more
Sky Investment Group Live With Indata, SunGard to Provide Outsourced Solution for Addressing Mutual Fund Revenue Management and 22c-2 Compliance
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Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.
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