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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.  |
Investment Advisor February 2008 Papa & Marks |
The New Paradigm Integrating operations and compliance.  |
Financial Planning October 1, 2009 Nancy Lininger |
What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role.  |
Registered Rep. February 7, 2012 Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.  |
Financial Planning July 1, 2006 Jane Worthington |
Compliance Tips: What Now? John Walsh, of the SEC's Office of Compliance Inspections and Examinations, offered these ten points for post-review discussions to attendees at NRS' Spring Compliance Conference.  |
Registered Rep. October 24, 2007 Halah Touryalai |
The New New RIA Model: Sharing Back Offices The barriers to going independent are shrinking. Don't believe it? Check out Mraz, Amerine & Hirschler & Associates, a firm launched by three wirehouse advisors who left Morgan Stanley earlier this month with $400 million in client assets.  |
Financial Advisor November 2008 Raymond Fazzi |
Disclose, Baby, Disclose Firms such as Schwab, Fidelity, LPL and Raymond James have made no secret of their desire to take advantage of the distress on Wall Street by luring top producers from Merrill Lynch and other troubled wirehouses.  |
Financial Advisor July 2009 Sherri Scordo |
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.  |
Bank Systems & Technology June 14, 2010 Matt Gunn |
FIS to Acquire Compliance Coach Banking and payment technology provider FIS announced Monday it will acquire Compliance Coach, Inc., a company that provides risk assessment software, e-learning and additional tools to enable compliance with applicable laws and regulations.  |
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  |
Registered Rep. November 1, 2006 Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.  |
Registered Rep. February 1, 2005 Pam Black |
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing.  |
Wall Street & Technology August 22, 2005 Maria Wakem |
Macgregor Proves Compliance Boston-based Macgregor's latest compliance control and reporting solution, XIP Enterprise Compliance, eases the burden of proving to the SEC that firms have the proper controls in place.  |
Financial Planning March 1, 2011 Bob Veres |
Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.  |
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.  |
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 October 26, 2005 |
Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.  |
Registered Rep. December 16, 2011 Jerry Gleeson |
Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.  |
Registered Rep. September 3, 2009 Mindy Diamond |
Talking To Clients About Breaking Away Here are some starting points for advisors to begin a conversation with clients about deciding to establish themselves as an RIA or joining an existing one.  |
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran |
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.  |
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.  |
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.  |
Bank Director 2nd Quarter 2010 Jack Milligan |
Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.  |
Wall Street & Technology November 21, 2006 Cory Levine |
Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates.  |
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 22, 2005 Atul Seth |
Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully.  |
Investment Advisor June 2009 Thomas D. Giachetti |
Not Just the CCO While the chief compliance officer (CCO) should be the main player in the compliance review process, whenever possible at least one other firm officer be involved.  |
IndustryWeek December 1, 2006 John Teresko |
Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution.  |
Insurance & Technology August 10, 2006 Maria Woehr |
Compliance Automation Responding to growing pressure on insurers to comply with federal regulations such as Sarbanes-Oxley, the Gramm-Leach-Bliley Act, the Federal Information Act and HIPAA, ControlPath launched ControlPath Compliance Suite 3.0.  |
Wall Street & Technology April 14, 2006 Govind Sandhu |
Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.  |
Registered Rep. October 19, 2011 Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages.  |
Investment Advisor June 2009 Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.  |
Financial Advisor September 2005 Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.  |
Insurance & Technology April 20, 2005 Anthony O'Donnell |
Compliance Sticker Shock In a recent survey, financial services companies have reported higher-than-expected costs in dealing with the demands of Sarbanes-Oxley Section 404 compliance.  |
Bank Systems & Technology May 31, 2004 Cynthia Ramsaran |
Banks Go Beyond Budgets For Compliance Many financial institutions are overspending by duplicating compliance and disaster recovery efforts.  |
Insurance & Technology August 12, 2005 Peggy Bresnick Kendler |
The Compliance Challenge Industry experts offer opinions on what the biggest challenges carriers currently face in terms of regulatory compliance.  |
Investment Advisor February 2010 Chester Wright |
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.  |
Insurance & Technology June 16, 2004 Julie Gallagher |
Look On the Bright Side Rather than letting the clouds of regulation rain on their operations, insurers that look for compliance's silver lining have an opportunity to improve their business processes.  |
OCC Bulletin December 14, 2005 |
Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations.  |
CIO July 1, 2005 Edward Prewitt |
Sox Compliance Now Business as Usual The effect of the Sarbanes-Oxley Act (Sox) on IT budgets is already receding, as compliance becomes just another cost of doing business, according to recent reports.  |
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.  |
Financial Advisor July 2011 Bernie Clark |
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry.  |
Registered Rep. November 1, 2006 Kevin Burke |
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research.  |
Insurance & Technology May 28, 2008 Nathan Conz |
Insurers Taking More Unified Approach to Compliance Compliance is becoming the key component of core systems -- especially within the insurance industry. It means complying with state-to-state insurance regulations; but it also means establishing an anti-money laundering program.  |
Financial Advisor August 2009 Eric Rasmussen |
Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.  |
CIO May 15, 2006 Diann Daniel |
Regulation's Silver Lining John Hagerty, vice president of research with AMR, says regulatory mandates have put a new spotlight on IT as a means to mitigate business risk.  |
Wall Street & Technology November 21, 2006 |
FSIs Care More About Compliance New research out of the Business Performance Management Forum verifies the financial services industry's high prioritization of compliance as a business function.  |
Financial Advisor March 2012 Brian Hamburger |
Success Breeds Envy Wirehouses and banks wage their most successful battle yet against RIAs.  |
Wall Street & Technology October 26, 2005 Katherine Heires |
By the Dashboard Light As regulatory concerns persist, many financial firms are turning to dashboard technology to simplify compliance initiatives. Here are 12 key questions to ask before starting a compliance dashboard project.  |
Bank Systems & Technology June 1, 2005 Phil Britt |
Missed Opportunity Though Sarbanes-Oxley, Basel II and revisions in state and federal banking laws continue to increase the time and cost commitment banks must make for compliance, there are ways to mitigate the burdens of regulatory requirements and even improve operations.  |