Content tagged with Compliance posted in April 2007
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SEC Aims to Make AML Compliance Easier
The SEC's Office of Compliance Inspections and Examinations (OCIE) today announced the availability of a new online resource for anti-money laundering (AML) information. The "AML Source Tool" compiles and organizes all of the major rules and regulations surrounding AML.
"We're hoping that this AML Source Tool will assist broker-dealers w
22c-2 Compliance Date Nears
The April 16 compliance date for SEC Rule 22c-2 is fast approaching, and in less than two weeks, mutual funds and their intermediaries will have to have fleshed out their information-sharing agreements. Last year, funds and intermediaries alike reported their struggle to develop these agreements, which should now be near
Schapiro: Regulatory Sea Change on the Horizon
The very foundation of market regulation in the U.S. is under question, and could soon follow the model of European regulators, indicated NASD CEO Mary Schapiro at an industry conference last week. It seems as though rule-based lawmaking is slowly going the way of the buffalo and a principles-based approach, such as that utilized by the U.K.'s
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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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