Innovation in a Time of Compliance

BEFORE THE SPIN

In general, I would rather put a gun to my head than delve into the tedious intricacies of compliance with the rules and regulations of Sarbanes-Oxley and Basel II. However, I am seeing signs of IT innovation creeping into the lugubrious world of compliance technologies.

Sadly, the reality for many IT managers on the trading floor is that the government is breathing down a lot of necks and the compliance officer is actively overseeing matters on the trading floor. As one managing director at a

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