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Wall Street & Technology September 18, 2006 Cory Levine	JPMorgan WSS Makes Serenita CDO Peter Serenita, a 25-year JPMorgan veteran, has been promoted to the newly created position of SVP and chief data officer for JPMorgan Worldwide Security Services.
Wall Street & Technology June 29, 2005	Keeping Tabs Hirtle, Callaghan & Co. named Rhonda Fell chief compliance officer... Jodi Burns has left her position as a securities and investments analyst at... Anthony Barral was elected cochair of the FIX Protocol Limited... etc.
Wall Street & Technology February 14, 2006	Keeping Tabs Former Banc of America Securities global head of debt research David Goldman has moved... JPMorgan Worldwide Securities Services added Christopher Kunkle... John Grifonetti was named president and COO of Creditex... etc.
Wall Street & Technology September 21, 2004 Maria Santos	Shifting Gears PFPC, a global provider of fund services to the investment management industry, hires John Korn... MONY Compliance Chief Jumps to business information and tools provider D & B... SunGard Appoints Marc Odho as SVP... Keeping Tabs...
Wall Street & Technology November 29, 2004 Maria Santos	People & Careers Witney to Head IT at Barclays Capital... SunGard Names Cinquina SVP... Morris Joins Penson From Pershing... etc.
Wall Street & Technology September 21, 2004 Paul Allen	Basel II: Coming to America Now that the Basel II Accord will apply to the U.S. securities industry, some firms are playing catch-up.
Wall Street & Technology February 21, 2007 Anthony Guerra	Raj Mahajan Drives Transformation and Increases Wallet Share as the New President of Sungard's Brass Unit An interview with Mahajan on how he shifts the focus of the integrated trade and order management provider's Brass unit from new sales to serving the needs of existing customers.
Wall Street & Technology March 21, 2006	Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices.
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.
The Motley Fool October 16, 2008 Zoe Van Schyndel	The Risky Business of Securities Lending Is your mutual fund betting with your money?
Wall Street & Technology June 21, 2004	The Trust Factor We're at a point where we trust the technology and we trust the operations, but we don't trust the human beings and the corporations in the securities industry.
Wall Street & Technology January 24, 2006	Keeping Tabs Richard Balarkas, managing director of Credit Suisse, has been elected cochair of... Nasdaq appointed William O'Brien SVP of new listings with the corporate client group... ESpeed COO Paul Saltzman was elected to The Bond Market Association... etc.
Wall Street & Technology January 5, 2007	Securities Lending Continues Growth Initially a back-office function handled by large banks and broker-dealers, securities lending now is a major front-office function that occupies a prominent position in many broker and custodian offices.
The Motley Fool October 14, 2009 Morgan Housel	Inside JPMorgan Chase's Earnings It was another blowout quarter for JPMorgan Chase, one of only a few surviving banks in the post-Lehman world.
Wall Street & Technology January 24, 2006 Maria Wakem	Holding the Spending Line Finding ways to control compliance costs has become a high priority for Wall Street CIOs as they realize that more IT dollars diverted toward compliance means fewer IT dollars devoted to clients' needs and company growth.
Wall Street & Technology March 14, 2008	Credit Crisis Places IT Budgets in Question (Again) The subprime mortgage mess and credit crunch are impacting financial firms' IT budgets in different ways. But if the multi-billion dollar write-downs continue, one thing is for sure: technology budgets will be in flux for the remainder of the year.
Registered Rep. January 1, 2006 Kristen French	Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002.
Investment Advisor January 2009 Kara P. Stapleton	New Year, Same Issues? It's no secret that the securities and investments industry in 2009 will be shaped by the ramifications of 2008's events.
Registered Rep. May 1, 2004	Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.
BusinessWeek October 28, 2010 Kopecki & Moore	Banks Face a Decade of Slow Revenue Growth New rules and a weak economy are affecting Bank of America, Citigroup, Goldman Sachs, and others.
InternetNews May 17, 2004	Securities Industry IT Spend to Hit $71.5 Billion While double digit increases are long gone, the Tower Group finds North American securities industry IT spending on the rise.
Wall Street & Technology February 4, 2005 Maria Santos	Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them.
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.
Wall Street & Technology June 4, 2004	The Analysts' View What's next? Algorithmic trading or old, faithful STP? Industry analysts make their predictions.
Wall Street & Technology July 1, 2005 Maria Santos	Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional.
Wall Street & Technology September 19, 2006 Tim Clark	The Quiet Market Explosion While most of the industry has been focusing on exotic investment products and emerging markets, the securities lending market has boomed into a $16 trillion business. But with rapid growth comes substantial risk.
The Motley Fool January 27, 2009 Ivan Martchev	Catch-22: Why Banks Can't Lend Lots of banks aren't willing or able to help kick-start the economy that would bring them back to health.
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.
Wall Street & Technology February 25, 2005	Regulators in the Driver's Seat Regulation is here to stay and remains the No. 1 driver for IT organizations within securities and investments businesses for 2005, says recently released research by TowerGroup.
Wall Street & Technology March 21, 2006 Cory Levine	Education in Regulation In partnership with the NASD, the U.K.'s University of Reading will offer what is believed to be a first-of-its-kind Master's in Capital Markets, Regulation and Compliance from the University's business school.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
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.
The Motley Fool August 14, 2008 Morgan Housel	30-Second Overview: JPMorgan Chase A quick look at a banking behemoth that has remained largely unscathed throughout the banking fiasco.
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.
Registered Rep. July 30, 2003 Will Leitch	Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept.
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.
Wall Street & Technology June 4, 2004 Robert M. Hegarty	The Next Wave: Innovation It's been a long time comin', but the Securities industry has reengaged, with some very innovative technologies, products and even services as its launching pad.
Wall Street & Technology February 4, 2005 Anthony Guerra	Integration After decades of technology development, Wall Street firms find themselves with multiple business lines running dozens of applications that don't speak the same language.
Bank Systems & Technology April 28, 2008 Sherree DeCovny	JPMorgan Chase Extends Treasury & Securities Services in Latin America Responding to Latin America's expanding economy and growing export business, New York-based JPMorgan Chase has restructured its Treasury & Securities Services franchise to place an increased emphasis on the region.
OCC Bulletin April 9, 2002	Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent...
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.
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.