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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.
Wall Street & Technology June 4, 2004 Jessica Pallay	Fund Fixes Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers.
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.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
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.
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.
Bank Director 1st Quarter 2010 Ivan Garces	Considering a Bank Acquisition? Don't Forget BSA and AML Considering a potential acquisition? Don't forget to assess the target bank's compliance with the Bank Secrecy Act and Anti-Money Laundering regulations and the impact of the acquisition on your bank's own AML program.
Financial Planning April 1, 2007 John J. Bowen	Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system.
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.
Bank Systems & Technology December 1, 2003 Cynthia Ramsaran	Newer Regulations Keep Banks On Their Toes When it Comes to Content Compliance demands highlight need for enhanced content management strategies.
Wall Street & Technology November 17, 2003 Ivy Schmerken	Holistic Compliance With a torrent of regulations raining down on them, Wall Street firms are wise to think about developing a global-compliance architecture. But can the chief compliance officer sell the project to senior management?
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Wall Street & Technology August 27, 2004 Paul Allen	Custodians Target Compliance Firms that lack the technology, data or manpower to monitor compliance are looking to their custodian services for relief.
Registered Rep. March 16, 2006 John Churchill	Bear Stearns Fined $250 Million for Securities Fraud The SEC's investigation found that from 1999 through September 2003, the firm provided technology, advice and deceptive devices that helped market timers and late traders evade the firm's own systems as well as those of mutual funds.
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.
Investment Advisor March 2006 Parks & Paris	IA Soapbox: Why We Went RIA In the RIA model, compliance issues serve to remind us that we are on the same side of the table as our client, and that staying compliant will help us forge together a long-lasting relationship.
On Wall Street November 1, 2012 Mason Braswell	Regulators Cite Trouble Spots Are firms doing all they can when it comes to handling material non-public info?
U.S. Banker November 2007 Patrick Conte	Embrace This Acronym: IT GRC. It Could Save Banks a Bundle. Used to describe the interdependent disciplines of governance, risk and compliance, GRC refers to the people, processes and technology banks invest in to comply with regulations and manage risk as part of effective corporate governance.
Wall Street & Technology February 12, 2004 Jessica Pallay	Operation Mutual Fund The SEC is on a mission to bring order to the chaotic state of the mutual-fund industry.
Financial Planning October 1, 2010 Donald B. Trone	Last Step: Monitor A closer look at the final step in the investment management process: Monitor. Plus, clues about when it might be time to fire your money manager.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Investment Advisor April 2008	News & Products, April 2008 FINRA has settled cases against five firms... Fidelity Investments has agreed to pay an $8 million penalty... FINRA fined and suspended 16 registered reps of State Farm VP Management Corp. of Bloomington, Illinois... etc.
Financial Planning August 1, 2010 Donald B. Trone	Step Four: Implement In this segment in our series, we are examining the steps of a traditional investment management process and demonstrating how a principles-based fiduciary standard can be incorporated into the process.
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.
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.
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 March 1, 2004 Jim Middlemiss	Compliance Issues Overwhelm the Industry Financial-services firms grapple with the multitude of compliance issues facing the industry. Is there an end in sight?
Investment Advisor August 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
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 January 4, 2004 Jessica Pallay	Is Time on Your Side? As trading abuses are exposed, the mutual-fund industry contemplates how to stop the late bird from getting the worm.
Financial Planning March 1, 2005 Andrew Miller	You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention.
Bank Systems & Technology April 28, 2008 Paul L. Lee	Integrating Systems Essential to AML and SAR Compliance To follow regulators' requirements, banks must leverage and coordinate compliance, risk management and IT department efforts.
Registered Rep. January 12, 2006 John Churchill	UBS Dinged $50 Million for Market Timing New York Stock Exchange Regulation, along with the New Jersey Bureau of Securities, today announced that UBS Financial Services was fined $49.5 million for failure to supervise the deceptive market timing activities of its brokers.
Financial Planning November 1, 2009 Donna Mitchell	Year-End Review Here are some questions for registered investment advisers to answer while annually reviewing their policies and procedures.
Wall Street & Technology February 15, 2007 Cory Levine	Trial and Error: When It Comes to Compliance, the Bare Minimum Isn't Enough Anymore How one financial firm's CCO dumped two e-mail archiving providers before being satisfied with his e-mail compliance.
OCC Bulletin May 10, 2004	Risk Management of New, Expanded, or Modified Bank Products and Services The risk management principles in this bulletin outline the expectations of the Office of the Comptroller of the Currency and apply to the introduction of traditional and non-traditional bank products and services, as well as modifications to existing products and services.
Pharmaceutical Executive January 1, 2013 Ben Comer	Compliance in the C-Suite Compliance officers have risen into pharmaceutical management's highest ranks, by choice in some organizations, and by government decree in others. Either way, their importance as a strategic partner can hardly be understated.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
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.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
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.
Investment Advisor November 2005 Melanie Waddell	The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working?
Wall Street & Technology April 27, 2004 Ivy Schmerken	Hedging the Risk of Instant Messaging While hedge funds enjoy the simplicity of trading via IM networks, compliance and reliability concerns have them seeking IM products with built-in archival systems.
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 Planning April 1, 2006 Keith Marks	Compliance Tips: Dinner and Broken Promises Now investment firms seek to address risk, meet regulatory expectations, and avoid the next big scandal by monitoring communications.
Financial Planning April 1, 2011 Donald B. Trone	Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.
InternetNews April 6, 2004 Ryan Naraine	IBM Targets Regulatory Compliance To support enterprises who struggle to comply with the maze of government regulations for record-keeping, IBM Monday rolled out three new software products to help track and manage internal e-mails and instant messaging conversations.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?