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Wall Street & Technology June 28, 2005	The Next Big Thing Four analysts predict what shape they believe the future landscape of financial services technology will take.
Wall Street & Technology October 24, 2007 Michael Topper	The Repercussion of MiFID and Reg NMS in the U.S. U.S. financial institutions must educate themselves on the difference and similarities between Reg NMS in the States and MiFID in Europe to ensure they know the rules and are able to comply.
Wall Street & Technology July 18, 2006 Ivy Schmerken	Amex CIO Prepares to Launch New Hybrid System, AEMI, for Reg NMS CIO Antoine Shagoury is ramping up the process to launch the exchange's new hybrid trading system AEMI to be ready for Reg NMS.
Wall Street & Technology January 24, 2006 Greg MacSweeney	Reg NMS: Hurry Up and Wait An interview with Joe Gawronski, COO at Rosenblatt Securities, on the possibility of a delay in the implementation of both Reg NMS and NYSE's planned hybrid exchange model.
Wall Street & Technology February 27, 2005	Support Needed Financial institutions that want to boost their retail investment businesses need to provide better support to their reps and advisers, according to a recent study by Financial Insights.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
Wall Street & Technology June 21, 2004	Best Execution Drives Buy-Side OMS Suppliers Buy-side order-management systems are being impacted by demand for electronic trading, continuous compliance and new requirements to handle complex derivative instruments
Wall Street & Technology July 18, 2006	With the INET Integration Underway, Nasdaq's CIO Looks to Crossing Networks Next CIO Anna Ewing has a full agenda with the INET integration, crossing networks, and technology cost reductions on tap for 2006.
Bank Systems & Technology August 30, 2005 Maria Bruno-Britz	Standard Jumps on Standards Johannesburg-based Standard Bank chose SunGard's Capital Manager for Basel II solution for its Basel II compliance and capital management needs.
Wall Street & Technology January 23, 2007 Cory Levine	NYSE Requests a Four-Week Extension of the Reg NMS Deadline Although it has been beaten to death by industry analysts and press, the importance of the changes to the U.S. securities industry spurred by Reg NMS cannot be overstated. The industry anxiously awaits full implementation of the regulation in 2007.
Bank Systems & Technology February 1, 2007 Mark Sievewright	Enabling Efficient Business Growth Three strategic themes will dominate the banking industry's 2007 IT agenda with the goal of enabling efficient business growth: leverage, integration and customer focus.
Wall Street & Technology January 24, 2006 Peter A. Horowitz	Developments on the Horizon Seven trends that could significantly impact brokerages and their support systems: The Aging of the Investor Class... Cross-Market Competition and Consolidation... Direct Market Access... etc.
Bank Systems & Technology May 24, 2007 Nancy Feig	Banks Make Headway Towards Basel II While international banks have made considerable progress toward complying with the provisions of Basel II, US banks still are waiting for the final rules. But that isn't keeping them from reexamining their risk management technologies.
Wall Street & Technology July 26, 2004 Ivy Schmerken	The Buy Side Takes Charge Access to aggregators, crossing networks and algorithms is changing the buy-side trading desk.
Bank Systems & Technology August 30, 2005 Phil Britt	Comprehensive Controls The better control a bank has on its risk exposure, the better its opportunity for profitability. Still, many financial institutions continue to struggle to establish enterprisewide risk management controls that provide a true picture of risk across the organization.
Wall Street & Technology July 1, 2005 Ivy Schmerken	The New Sell-Side Trader: Execution Consultant Brokers are morphing into execution consultants to advise the buy side on selecting algorithms and measuring performance. But how will the sell side reinvent the institutional sales trader?
Wall Street & Technology June 29, 2005 Ivy Schmerken	Reinventing the Relationship Technology and regulatory scrutiny have placed pressure on the buy-side traders to figure out how much it is paying for executions.
Bank Technology News June 2003 Karen Krebsbach	Basel II: Burden Or Opportunity? Savvy banks know the price is worth it: Banks that embrace rather than resist Basel II, the mammoth proposal designed to control operational and credit risk, will claim a greater competitive advantage in the marketplace, say technology analysts.
Bank Technology News May 2007	The Six Regulatory Areas That Are Altering Bank Life Regulation is a part of bank life. Failure to comply shouldn't be.
Wall Street & Technology January 6, 2006 Anthony Guerra	Excellence in Execution Despite the limitations of transaction cost analysis (TCA), most experts agree that trading and TCA now go hand in hand, and the buy-side's growing role in trading means TCA will be important to the sell-side of Wall Street, too.
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.
Bank Technology News October 2008 Kyle Duckers	Strategic GRC Yields Clear Payback Can a financial institution's governance, risk and compliance effort be a strategic tool, or is it simply a cost of doing business? Can best practices actually improve shareholder value? These are important questions that some financial services executives continue to ponder.
Wall Street & Technology January 23, 2007 Jessica Pallay	In the Search of Liquidity: The Time Is Now Now that Reg NMS is finally here, are firms ready to access 30 or more trading venues in their search for liquidity? After a year of investment in technology, firms need to demonstrate that their systems are up to the challenge.
Wall Street & Technology January 24, 2006 Jessica Pallay	The Buy Side Buys In In 2006, it will be impossible to ignore the enhanced productivity gained from algorithmic trading systems. As the buy side takes control of its own trading processes, automated trading frees up humans to focus on more-complex trading decisions.
Wall Street & Technology September 23, 2005	Basel II Falls Flat Despite increased efforts, banks are less certain about the benefits of Basel II compliance, according to a recent survey.
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 February 14, 2006 Ivy Schmerken	Brokerage Teams Tackle Reg NMS as Deadline Looms Many financial firms have joined industry committees to make sure that their organizations' interpretations of Regulation National Market System (Reg NMS) are in line with other market participants' views.
Wall Street & Technology July 1, 2005 Christopher Wrenn	Infrastructure Integration Many corporations are daunted by the challenges of integrating their technology infrastructures with their business processes. In the end, however, the benefits are worth the risks. Here are four recommendations for success when undertaking an enterprisewide integration project.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	The Buzz on Basel II Banks leverage enterprise management technologies to get head start on compliance.
Wall Street & Technology June 13, 2006 Greg MacSweeney	Careful What You Wish For While financial firms are relieved by the extension of full Reg NMS implementation, compliance now bumps up against the Nov. 1, 2007 deadline for the European Market in Financial Instruments Directive (MiFID). So where does that leave the industry?
Wall Street & Technology May 15, 2006 Greg MacSweeney	Playing by the Rules A growing number of voices is calling for a slimming down of SOX's reach, arguing that smaller financial companies cannot afford the compliance price tag.
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.
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.
Wall Street & Technology January 24, 2006	Table Set for Soft Dollar Software Growth New regulations in the United States and Europe are leading to heightened awareness of the largely unexplored commission-management software industry -- a market primed for major growth.
Wall Street & Technology June 28, 2005 Maria Santos	The Shift to Holistic Compliance As U.S. financial institutions feel the burden of complying with a multitude of regulations, forward-thinking firms are examining ways to use their existing technology for more than one compliance initiative.
Wall Street & Technology March 18, 2008 Cory Levine	Lack of Standardization in Data, Reporting to Hinder Basel II Compliance Lack of standardization in the reporting process will be a major hurdle for financial institutions in complying with Basel II requirements.
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.
Bank Technology News November 2004 Shane Kite	Trading: Direct Execution Players Get Beefy Banks and brokers are stocking up on tech and management tools, bundling direct access with algorithmic trading, as the industry gets more competitive than ever.
Wall Street & Technology February 4, 2005 Maria Santos	Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them.
Wall Street & Technology February 12, 2004	Outlook 2004: Compliance Tops the Charts Never before has Wall Street faced so many new regulations with major technology implications.
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 September 21, 2004 Paul Allen	Basel II: Coming to America Now that the Basel II Accord will apply to the U.S. securities industry, some firms are playing catch-up.
Wall Street & Technology July 1, 2005 Maria Santos	Top 5 Risk Initiatives Financial institutions have a lot to focus on in the risk department. Here are this year's top five risk initiatives.
Wall Street & Technology June 12, 2007 Melanie Rodier	Wall Street Firms Fine-Tune Reg NMS Compliance, Look Ahead at the Future Most financial firms have been working on boosting their order-routing capabilities and their infrastructure. But now is the time to see whether their systems can efficiently handle the data Reg NMS requires.
Wall Street & Technology April 26, 2007	Electronic Trading Boom Spurs Spending on Advanced Trading Technology The rapid growth in electronic execution of institutional equities trades will spur U.S. capital markets participants to spend $860 million on advanced trading technology this year, and spending will reach $1.3 billion by 2010, according to a new report.
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.
Bank Technology News August 2008 DiCristofaro & Kelly	What's Driving IT Spend For Basel II The financial industry's largest banks and broker-dealers have faced considerable challenges in their efforts to improve financial risk management and satisfy evolving regulatory requirements generated by the Basel II Capital Accord.
Investment Advisor January 2007 Melanie Waddell	Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University.
CFO December 1, 2003 Randy Myers	Basel's New Balance A new accord may soon help banks lend more for less.