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Investment Advisor
February 2008
Papa & Marks |
The New Paradigm Integrating operations and compliance.   |
Wall Street & Technology
January 24, 2006
Cory Levine |
A New View of Risk Only now are financial firms approaching the risk associated with their technology infrastructures as a business-critical initiative with substantial bottom-line implications and devoting greater resources to their maintenance. |
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
March 21, 2006
Tim Lind |
Counterparty Data Challenge Knowing the total relationship a financial institution has with its customer and its counterparty is key -- but only if the data is trustworthy. |
Insurance & Technology
March 2, 2006
Maria Woehr |
Risky Business Executives lack a high degree of confidence in their organizations' risk management capabilities, according to a Protiviti survey of more than 75 C-level executives from U.S.-based Fortune 1,000 companies. |
Financial Advisor
June 2011
David Lawrence |
A New Dawn More firms may merge or form strategic alliances in the wake of new rules that require small advisors to switch regulators. |
Wall Street & Technology
February 21, 2007
Penny Crosman |
The Do-Nothing Costs of Messy Data Architectures: Data Management Still Takes a Backseat at Many Financial Firms Securities firms that fail to devote time and resources to data management practices and tools will find themselves paying a price of increased risk, failed trades and overly expensive data feeds. |
Bank Systems & Technology
January 5, 2009
Jonathan Gossels |
Banks Must be Mindful of Security When Cutting Costs Forget security initiatives - for most bank IT organizations, the focus is survival. |
Wall Street & Technology
May 25, 2005
Jim Middlemiss |
Data Managers: Ambassadors of Change The need to know more about everything from compliance to risk management and the nature of the products that investment firms manage essentially means that today, a data manager must be a jack of all trades and be able to speak to the different business lines. |
Wall Street & Technology
September 23, 2005 |
Outsourcing for Operational Efficiency Regulatory pressures and an increasingly competitive market are forcing more and more financial institutions to turn to outsourcing as a way to improve their operational strategy, according to a recent survey. |
Wall Street & Technology
May 30, 2007
Melanie Rodier |
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending. |
Insurance & Technology
January 5, 2007
Piyush Singh |
Balance the Strategic With the Operational Insurance CIOs have a challenging role to play within the domain of their industry. |
Registered Rep.
December 1, 2005 |
When to Blow What rights and/or obligations does the home office have to its representatives to maintain a support staff that is able to efficiently and correctly process the paperwork that is sent to them? Do you feel that the threat of legal action would be sufficient to finally get the attention needed? |
Bank Technology News
April 2006
Michael Sisk |
Compliance: The New Rule Book Is Still Like A Maze There are so many new regulations that banks are having difficulty organizing their corporate structure to ensure these new rules are being adequately followed. |
Wall Street & Technology
May 25, 2005
Kerry Massaro |
From Data Geek to Chic Over the past few years, data managers have moved up from the basement - literally - and are heading toward the C-suite. |
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. |
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. |
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. |
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. |
