Compliance
Risk & Compliance special report
September 2012 - sponsored by: FTEN, a Nasdaq OMX company, NICE Actmize, SIX Financial Information
Thomson Reuters Launches Eikon for Compliance Management
Product allows for fast access to regulatory data and content.
ESMA Emphasizes Compliance Under Mifid
European regulator labels compliance function as critical to a firm's operation and mandates resource allocation.
StarCompliance Taps News Impact Scores for Insider Trading Tool
Compliance software vendor will use news provider's impact analysis to monitor trading activity against market-moving news events.
Wells Fargo Targets Contracts, Compliance
Steve Listhaus, head of market data services at Wells Fargo, outlines the bank's new efforts around negotiating contracts for data services, and market data compliance.
Big Brother Is Watching: Compliance Envelops the Business
As regulatory reform and an enhanced level of scrutiny falls on practices within investment banks, compliance departments are finding themselves increasingly involved with all areas of a business. In this era of a more proactive approach to oversight,…
Keeping Up with Compliance
The ways in which technology is breaking down traditional roles.
Thomson Reuters Debuts Accelus Compliance Manager
Solution helps to navigate regulatory complexity.
JCV Lets Web-Based ‘Genie’ Audit Tool Out of Bottle
Audit specialist debuts web tool for exchanges to reconcile declarations and reports to support remote audits
OneChicago Seeks SEF Equivalency
OneChicago CEO David Downey has been lobbying hard for his exchange to be considered virtually the equivalent of a swap execution facility.
Risk & Compliance special report
September 2011 - sponsored by: NICE Actimize, Lab49, Sybase, Ullink
Juggling Risk Data Requirements
The strong correlations between data management and risk management are now well established. But with the increasing regulatory pressure, what is really driving firms’ data needs? Carla Mangado explores the regulatory concerns firms are facing and how…