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On Wall Street
January 1, 2009
J Gibson Watson |
International Investing Offers Opportunities An SEC rule in October opened the floodgates for American Depository Receipts -- what does that mean for you and your clients?   |
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. |
| Knowledge@Wharton |
Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before... |
Wall Street & Technology
June 13, 2006 |
Positioning for Consolidation In a recently released update on the global stock exchanges, Financial Insights weighs in on market consolidation and the direction of the securities industry in the wake of regulatory, technological and competitive pressures. |
Wall Street & Technology
January 23, 2007 |
Pondering Liquidity Management The next five years will see a considerable increase in order internalization as market pressures force banking firms to adopt the philosophy of liquidity management in order to stay competitive, a new research note speculates. |
Wall Street & Technology
January 22, 2008
Sabatini & Smirnoff |
Trade Reporting, Surveillance Key To Compliance With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment. |
The Motley Fool
October 8, 2007
Bill Mann |
Our Markets Are Losing! For the first time in nearly a century, the majority of public company value is made up by firms that are not located in the U.S. Markets like London's AIM, as well as Shanghai and Hong Kong, are growing at a blistering pace. |
Bank Systems & Technology
June 18, 2009
Katherine Burger |
Can Trust Be Rebuilt in the Financial Services Industry? The Obama Administration's new proposals for financial services regulation aim to rebuild trust within the industry, and between banks and the public. That may be easier said than done. |
Insurance & Technology
November 14, 2007
Kim Dorgan |
Life Insurance Industry Would Benefit From Optional Federal Charter The future of insurance regulation remains one of the most critical issues facing the life insurance industry. |
Wall Street & Technology
February 12, 2007
Cory Levine |
Exchanges Lag in IT Spending Despite the global reinvention of securities exchanges as for-profit companies, IT spending by exchanges will continue to lag behind that of brokers and asset managers, according to research. |
Bank Systems & Technology
January 6, 2009
Katherine Burger |
Bank Technology Outlook 2009: Risky Business Topics and trends that will set the tone for banking technology decision makers in 2009, with risk management and regulation compliance looming large. |
IndustryWeek
March 16, 2011
Ebert et al. |
Managing Regulatory Challenges in a Global Marketplace Meeting requirements in emerging markets makes regulatory compliance an increasingly difficult issue for manufacturers. A new study sheds light on the challenges and how leading companies are meeting them. |
U.S. Banker
May 2008
Karen Krebsbach |
Plan Draws Lukewarm Response The Treasury Department's proposal to reorganize regulation of the financial-services marketplace drew mixed reviews. |
Financial Planning
February 1, 2005
Steven K. McGinnis |
Must SROs Go? A new SEC proposal to separate trading functions from regulatory activities at the exchanges could have far-reaching effects. |
Insurance & Technology
February 19, 2009
Anthony O'Donnell |
Federal Insurance Regulatory Proposal Draws Fire, Support Opponents of the National Insurance Consumer Protection and Regulatory Modernization Act (NICPRMA) call the bill an attempt to shoehorn optional federal charter into government regulatory activity meant to address systemic risk within financial services. |
Insurance & Technology
May 28, 2008
Doug Sheehan |
Enhanced Investment Systems Offer Better Integration of Data The enhanced technical capabilities of external data providers is making it possible for insurers to have better integration with these data sources, having great potential to improve data accuracy, timeliness and efficiency. |
Finance & Development
September 2009
Randall Dodd |
Overhauling the System The United States is proposing the most radical reform of financial regulation since the New Deal. |
Registered Rep.
June 25, 2009
Halah Touryalai |
Regulation, Not Growth, Is Top Concern for RIAs Clients are demanding more of their time, revenues are taking a hit and on top of it all, there's potential for major regulatory changes in their industry. |
Insurance & Technology
June 17, 2009
Anthony O'Donnell |
Insurance Industry Reacts to President's Financial Service Regulation Reform Proposals President Obama's proposals include enhanced oversight of the insurance sector and the establishment of an Office of National Insurance. |
Wall Street & Technology
November 21, 2006 |
Electronic Trading Expectations Soften The buy-side trading desk continues to transform itself into a more electronic, automated and self-directed operation, but the spread of electronic trading is slowing, according to TABB Group. |
Finance & Development
March 2009
Kodres & Narain |
What Is to Be Done While there is enough blame to pass around, one key contributor to the global financial crisis was inadequate regulation. The scope of financial regulation needs to be revamped and the provision of liquidity improved. Here's how. |
Insurance & Technology
May 18, 2004
Julie Gallagher |
IT Isn't Tapped for Compliance The insurance industry fails to embrace the full business value of IT when it comes to addressing regulatory requirements and instead relies primarily on manual processes and ad hoc measures |
Wall Street & Technology
November 21, 2006
Larry Tabb |
U.S. Market Position Under Attack There has been no less than a full-out assault on the U.S. position as the financial markets capital of the world. |
Bank Technology News
October 2010 |
Risk Management 3.0 Regulatory overhaul, new and disruptive technologies and increasingly complex management environments each play a part in today's financial services risk ecosystem, requiring transformational thinking and nontraditional skill sets. |
OCC Bulletin
June 5, 2003 |
International Activities of National Banks; U.S. Activities of Federal Branches and Agencies of Foreign Banks Notice of proposed rule making rules, policies, and procedures for corporate activities; international banking activities |
Finance & Development
September 2009
Andrew Crockett |
Rebuilding the Financial Architecture What needs to be done to strengthen financial regulation and supervision? |
IndustryWeek
March 16, 2011 |
EHS Regulatory Pressures Rise For global manufacturers, avoiding environmental, health and safety regulations is not quite as simple as picking up and moving operations to a new location. Every single product is regulated in at least one country. |
Information Today
July 30, 2015 |
LexisNexis Acquires Legal Media Company MLex is a legal media organization that provides market insight, analysis, and commentary on regulatory risk. |
Insurance & Technology
April 3, 2008
Katherine Burger |
No Surprises in Insurance Industry's Mixed Reception for Treasury Department's Endorsement of Optional Federal Charter Concerns about competitive advantage inspired the life insurance industry's welcome of the Treasury's call for an optional federal charter as part of broad regulatory reform proposals for financial services. |
Insurance & Technology
May 3, 2006
Maria Woehr |
Opting In or Out? As the optional federal charter for insurers hits the Senate floor, industry leaders weigh cost savings and enhanced competition against possible risks to insurance carriers -- and policyholders. |
