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Audit
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Audit specialist debuts web tool for exchanges to reconcile declarations and reports to support remote audits
Inside Market Data | News | Data Administration | 16 Jan 2012
A consolidated audit trail might sound good on paper, but as Max discovers, the SEC’s proposal has failed to impress many in the industry. However, while cost is a major factor, the critics might at least look to invest in some sturdy lightning rods....
Waters | Opinion | Risk Management | 19 Aug 2010
I've never been a big fan of regulators imposing technology platforms on the industry. Typically, such platforms aren't aligned with the technological realities of the Street. So when the US Securities and Exchange Commission (SEC) released in May its...
Sell-Side Technology | Opinion | Compliance | 13 Aug 2010
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