| Similar Articles |
|---|
 |
Wall Street & Technology
August 22, 2005 |
Keeping Tabs JPMorgan Worldwide Securities Services elected Richard Steele as chairman of the International Securities Lending Association... Deborah Mittelman joined SunGard's BRASS business unit as SVP of compliance and product management... etc.   |
Wall Street & Technology
June 13, 2006 |
PFPC, STN Address Compliance As the October deadline for SEC Rule 22c-2 compliance nears, PFPC announced it will provide a Web-based monitoring tool that will give fund companies access to PFPC's more than 50 million broker-dealer subaccounts and SunGard's 43 million retirement subaccounts. |
Wall Street & Technology
June 23, 2008
Cory Levine |
SunGard Introduces New Compliance Module Within Asset Arena Asset Arena Compliance improves compliance workflow and data management from the front to the back office. |
Wall Street & Technology
November 17, 2003
Ivy Schmerken |
Holistic Compliance With a torrent of regulations raining down on them, Wall Street firms are wise to think about developing a global-compliance architecture. But can the chief compliance officer sell the project to senior management? |
Insurance & Technology
March 18, 2005
Anthony O'Donnell |
Hancock Eyes Global Needs Boston-based John Hancock made two appointments to its global compliance team. The carrier named Kevin Cloherty to the new position of VP and chief counsel of global and U.S. compliance and appointed Mitchell Karman to fill the existing position of VP |
Wall Street & Technology
August 27, 2004
Jessica Pallay |
Building the Right Team With no sign of waning regulations, compliance officers remain essential to the architecture of the securities industry. |
Bank Technology News
April 2004 |
By The Numbers When it comes to compliance technology spending, internal IT remains the biggest investment for financial institutions. But more firms are opting to buy rather than build. |
Wall Street & Technology
November 26, 2007
Melanie Rodier |
Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently. |
Financial Planning
October 1, 2009
Nancy Lininger |
What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role. |
Bank Systems & Technology
February 22, 2007
Nancy Feig |
A Happy Marriage: Finding the Right Technology Mate for Compliance Programs Banks are turning to GRC software platforms to maximize compliance technology's effectiveness and gain greater return on investment. |
Bank Technology News
May 2005
Shane Kite |
Heeling And Dealing: Sungard Aims To Recast Its Services Business The largest private tech buyout comes as SunGard shifts its strategy towards services amid a changing outsourcing environment. |
Registered Rep.
November 1, 2006
Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. |
Bank Systems & Technology
August 30, 2005
Maria Bruno-Britz |
Standard Jumps on Standards Johannesburg-based Standard Bank chose SunGard's Capital Manager for Basel II solution for its Basel II compliance and capital management needs. |
Investment Advisor
March 2006
Parks & Paris |
IA Soapbox: Why We Went RIA In the RIA model, compliance issues serve to remind us that we are on the same side of the table as our client, and that staying compliant will help us forge together a long-lasting relationship. |
Investment Advisor
February 2008
Papa & Marks |
The New Paradigm Integrating operations and compliance. |
Wall Street & Technology
June 22, 2004
Steve Marlin, InformationWeek |
Learning to Like Compliance Speakers at InformationWeek Media Network's compliance forum are achieving compliance without disrupting their businesses. |
Wall Street & Technology
January 4, 2004 |
Do Not Call Compliance Each infraction, that's one sales call to a number listed on the Do Not Call list, can cost your firm up to $11,000. |
Financial Planning
September 1, 2006
Jane Worthington |
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost. |
Wall Street & Technology
August 22, 2005
Maria Wakem |
Macgregor Proves Compliance Boston-based Macgregor's latest compliance control and reporting solution, XIP Enterprise Compliance, eases the burden of proving to the SEC that firms have the proper controls in place. |
Financial Planning
July 1, 2006
Jane Worthington |
Compliance Tips: What Now? John Walsh, of the SEC's Office of Compliance Inspections and Examinations, offered these ten points for post-review discussions to attendees at NRS' Spring Compliance Conference. |
Bank Technology News
February 2009
Brian Longe |
Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure. |
Insurance & Technology
August 12, 2005
Peggy Bresnick Kendler |
The Compliance Challenge Industry experts offer opinions on what the biggest challenges carriers currently face in terms of regulatory compliance. |
Bio-IT World
February 11, 2005
Judy Hanover |
Leveraging IT to Achieve Compliance Budgeting and measuring the success of compliance initiatives is a credibility issue for CIOs. |
Insurance & Technology
May 28, 2008
Nathan Conz |
Insurers Taking More Unified Approach to Compliance Compliance is becoming the key component of core systems -- especially within the insurance industry. It means complying with state-to-state insurance regulations; but it also means establishing an anti-money laundering program. |
Wall Street & Technology
August 27, 2004
Paul Allen |
Custodians Target Compliance Firms that lack the technology, data or manpower to monitor compliance are looking to their custodian services for relief. |
Pharmaceutical Executive
January 1, 2013
Ben Comer |
Compliance in the C-Suite Compliance officers have risen into pharmaceutical management's highest ranks, by choice in some organizations, and by government decree in others. Either way, their importance as a strategic partner can hardly be understated. |
Wall Street & Technology
March 1, 2004 |
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions. |
