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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. mark for My Articles similar articles
Investment Advisor
February 2008
Papa & Marks
The New Paradigm Integrating operations and compliance. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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 mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Bank Systems & Technology
July 5, 2004
Cynthia Ramsaran
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
IndustryWeek
December 1, 2006
John Teresko
Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
February 2010
Chester Wright
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
March 2012
Brian Hamburger
Success Breeds Envy Wirehouses and banks wage their most successful battle yet against RIAs. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles