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Wall Street & Technology
September 23, 2005
Anthony Guerra |
Follow the Leader The U.K.'s Financial Services Authority (FSA) finally issued its soft-dollar guidelines. Will the SEC take a page out of what the FSA has done? Probably.   |
Wall Street & Technology
March 26, 2004
Ivy Schmerken |
Regulators Play Hardball with Soft Dollars Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology. |
Wall Street & Technology
January 24, 2006
Anthony Guerra |
Hard Times for Soft Dollars Changes to soft dollar practices are of interest to both sides of the Street since the tightening of the SEC's safe harbor clause -- which details what may be paid for with soft dollars -- will require the buy side to shell out hard dollars for more goods and services. |
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
April 26, 2005
Ivy Schmerken |
Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research. |
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. |
Information Today
March 1, 2010 |
Elsevier Launches New Online Book Series: Elsevier Insights This is a new online book series covering topics in areas such as life and physical sciences, engineering, computer science, tourism, and finance. |
Registered Rep.
August 1, 2006
Kevin Burke |
SEC Draws Hard Line on Soft Dollars After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars. |
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. |
Wall Street & Technology
April 22, 2005 |
Capital Markets: Top 10 Strategic Initiatives for 2005 Ten strategic initiatives that will drive technology spending in the capital markets in 2005. |
The Motley Fool
July 14, 2006
Alex Dumortier |
SEC Soft on Soft Dollars The SEC clarifies what acceptable practice is when it comes to soft dollars. If you are a mutual fund or hedge fund investor, you'd be well advised to check your investment managers' policy regarding the use of soft dollars. |
Wall Street & Technology
August 27, 2004
Ivy Schmerken |
Bracing for Disclosure of Soft Dollars The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research. |
InternetNews
March 7, 2005
Jim Wagner |
Tech Heavies Throw Weight Into Compliance HP, Oracle and others want to build a cross-industry, global framework for companies looking to get a handle on government compliance regulations. |
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. |
Reason
January 2006
Kerry Howley |
Data: Treat the Rich Some recent number-crunching by the U.S. Small Business Administration reveals that it's mom-and-pop outfits, not big box behemoths, who are hardest hit by complicated accounting rules, tax requirements, and workplace regulations. |
Bank Systems & Technology
July 12, 2010
Penny Crosman |
Mobile Banking Usage Nearly Doubled in Past Year, IDC Says The good news: consumers and banks have made great progress in mobile banking adoption. The bad news: it's hard for banks to make money via mobile. |
Bank Systems & Technology
February 29, 2008
Deena Amato McCoy |
U.K.'s FSA Considering Tougher Bank Regulation U.K. regulators are weighing changes that could require banks to deploy reporting technologies that will keep regulators abreast of problems in a more timely manner. |
Wall Street & Technology
February 14, 2006 |
Little Confidence In Online Banking The United Kingdom's Financial Services Authority (FSA) has characterized consumer confidence in online banking as "fragile." To combat the trend, the regulatory body is encouraging banks to devote greater effort to fighting online banking fraud. |
U.S. Banker
March 2007
Paresh Amin |
Balancing Industry Mandates and Federal Regulations Financial companies need to consider compliance, business objectives and data security in a holistic manner. All three can be boiled down to one main requirement: determining what is happening to critical data. |
CRM
June 2015
Jim Dickie |
What We've Got Here Is Failure to Collaborate If networking systems are underused, don't blame the technology |
Wall Street & Technology
November 18, 2005
Larry Tabb |
The Sins of the Few The equity research model is not only broken, it is destroyed. In trying to clean up the research process, we have thrown out the baby with the bath water. |
Registered Rep.
June 18, 2010
Bill Singer |
The UK Junks Its FSA, When Will We Junk The SEC The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this. |
Bank Systems & Technology
January 22, 2009
Orla O'Sullivan |
Many Bank IT Vendors Won't Survive 2009 As U.S. banks cut overall technology spending, 12 percent of today's top 100 bank IT vendors will not survive the year, the research and advisory firm predicts. |
