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Wall Street & Technology
May 30, 2007
Melanie Rodier |
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.   |
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. |
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
February 1, 2006
Michael Suppappola |
Notes from the CCOutreach National Seminar CCOs currently face a number of issues, from email retention and soft dollar payments to the role of the CCO in performing critical compliance functions. The seminar featured many helpful tips for CCOs. |
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 20, 2006
Cory Levine |
Compliance Handoff: Hiring a Full-Time CCO Is Proving Costly for Advisers and Funds, Which Are Now Outsourcing the Entire Compliance Department With many small and mid-size investment advisers and funds struggling under the weight of new compliance regulations, many are finding relief by placing the burden on stronger shoulders. |
Bank Systems & Technology
July 5, 2004
Cynthia Ramsaran |
Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance. |
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. |
Financial Planning
June 1, 2005
Juliette Fairley |
FP50: Angst Over Compliance As financial advisory firms struggle to manage a raft of new regulations, they are banding together to rein in the rule-makers. |
Investment Advisor
October 2007
Melanie Waddell |
Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail. |
CFO
December 1, 2004
Kate O'Sullivan |
Laying Down the Law By naming compliance officers, companies are putting new focus on regulatory issues -- and giving CFOs a break. |
Financial Planning
October 1, 2005
Lisa Roth |
When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how. |
Investment Advisor
February 2008
Papa & Marks |
The New Paradigm Integrating operations and compliance. |
Food Processing
June 2009 |
U.S. organic sales grew by `only' 16 percent in 2008 Organic food sales enjoy a healthy year, but growth is slowing. |
Financial Advisor
June 2005
Raymond Fazzi |
Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging. |
InternetNews
January 10, 2008
Stuart J. Johnston |
Microsoft Dealmaker Calls It Quits Bruce Jaffe, a leading force behind Microsoft's myriad investments and buyouts is moving on. |
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. |
Financial Advisor
March 2005
Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. |
Investment Advisor
February 2010
Chester Wright |
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden. |
Bank Technology News
April 2006
Michael Sisk |
Compliance: The New Rule Book Is Still Like A Maze There are so many new regulations that banks are having difficulty organizing their corporate structure to ensure these new rules are being adequately followed. |
Investment Advisor
August 2008
Thomas D. Giachetti |
The Three Troubling Themes How to combat compliance misunderstanding and misdirection. |
