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- Compliance: sec 17a-4/NASD 3010/3110
- In the wake of the 1928 stock market crash and the uncovering of widespread securities fraud, the U.S. Congress enacted the Securities Exchange Act of 1934. The Act seeks to protect investors from fraudulent or misleading claims in the securities industry and requires extensive record keeping, reviewing, and auditing by...
- White papers 2007-04-17
- securities and Exchange Commission of Pakistan Achieves High Availability for Critical Applications
- The Securities and Exchange Commission of Pakistan SECP was established in 1999 by the Government of Pakistan. The SECP wanted to install a powerful, reliable, secure, and scalable database platform on which to run critical business applications and gather and store business data in a central location. The challenge was...
- Case studies
- Case Study: Investment Management Firm Implements Permeon to Comply With sec Regulations
- Federal and state regulations that govern different aspects of corporate business have existed for a long time, but the corporate scandals of the past few years have created a compliance hype that is affecting many companies, from unknown start-ups to multinational corporations. This study analyzes the experience of a midtier...
- Case studies
- Investment Management Firm Tackles Tough New sec Regulations With CommVault QiNetix DataArchiver and Galaxy Backup and Recovery
- An investment management firm with over $5 billion in assets under management for institutional and private investors depends on CommVault QiNetix DataArchiver and Galaxy Backup and Recovery to protect its critical data and meet stringent Federal regulatory requirements for the retention of electronic data. Archiving email is an especially high...
- Case studies
- Entire Firm Uses Assentor for sec/NASD Compliance and to Respond to Litigation
- One of the largest leading providers of private banking services and one of the largest asset managers globally became an early adopter of Assentor in 1998 because it was the only solution to provide a sophisticated and robust compliance tool to meet their needs. Assentor addresses the firm's challenge of...
- Case studies
- Microsoft Executive Circle Webcast: How Microsoft Approaches Compliance Challenges
- This webcast explores ways to improve accountability in measurable ways, one of the main challenges in the world of finance today. The webcast examines the approach Microsoft has taken to meeting its own Sarbanes-Oxley Section 404 compliance deadline and how it plans to comply from a process standpoint. It shows...
- Webcasts
- Microsoft and Rivet Software Work Together to Pioneer Streamlined XBRL-Based Financial Reporting for sec
- On February 3, 2005, the U.S. Securities and Exchange Commission SEC announced that it would begin accepting corporate financial reports tagged with Extensible Business Reporting Language XBRL. Always seeking to maintain its leadership in financial best practices, Microsoft Corporation chose to participate in the voluntary filing program. It needed a...
- Case studies
- Adirondack Electronics Markets Complies With sec and NASD Regulations Regarding Email Retention and Supervision, Reducing Risk
- Adirondack Electronics Markets AEM is a broker/dealer that represents agency and proprietary orders on the Exchange. AEM needed to achieve full compliance with SEC and NASD requirements regarding email retention and supervision, and to provide legal protection from the risks and costs of email discovery and litigation requests. AMC implemented...
- Case studies
- Superintendencia de Electricidad y Combustibles Automates Regulatory and Supervisory Processes, Saving Millions
- Founded in 1985, the Superintendencia de Electricidad y Combustibles SEC wanted to eliminate manual processes and automate the massive compilation of information for and about the power industry. They wanted to implement information systems that automate the supervisory process, a large part of SEC's role and develop new services based...
- Case studies
- WANSync Provides sec-Standard Data Availability for Buckingham Asset Management's Web Portal and Exchange Infrastructure
- The Buckingham Family of Financial Services (comprised of Buckingham, BAM, and affiliate Bemiston Insurance Services, LLC) places great emphasis on data availability. In addition, SEC regulations require that Buckingham employ robust disaster recovery planning, to minimize downtime of its SQL-based client data servers and Exchange-based communications infrastructure. To achieve these...
- Case studies
- Government Agency Uses Latest Technology to Increase Investor Confidence
- The Securities and Exchange Commission SEC, Thailand, is responsible for supervising and developing capital markets in Thailand. SEC wanted to minimize confidential data loss and theft during off-site meetings and investigations and protect its machines from online spyware and malware attacks. SEC also wanted to ensure compliance with company security...
- Case studies
- How Compliant is YOUR Email Archive?
- Failure to archive your emails can have dire consequences for your business. Do any of these regulations impact you? Sarbanes-Oxley SOX Act HIPAA Gramm-Leach Bliley Act GLBA Securities and Exchange Commission SEC Rules National Association of Securities Dealers NASD Rules Investment Dealers...
- Resource centers 2008-03-01
- Microsoft Exchange and IBM System Storage N Series With NearStore and Symantec Enterprise Vault
- Regulatory compliance and other data storage requirements demand efficient and reliable data archival solutions. IBM System Storage N series with NearStore and SnapLock features in combination with Symantec Enterprise Vault offers a simple, cost-effective, and best-of-breed solution to archive e-mail and other messages in a Microsoft Exchange environment. Securities and...
- White papers 2007-10-09
- sec freezes 35 stocks because of SPAM
- Yesterday, the SEC suspended trading on 35 stocks that have been targeted for manipulation by spammers in order to make quick profits. According to the AP report, the stocks will be suspended for trading until March 22, and the companies themselves are not necessarily being accused of any wrong doing. Most...
- Blog posts 2007-03-09
- sec freezes 35 stocks because of SPAM
- Holding them accountable? Sounds like they're validating them"When spam clogs our mailboxes, it’s annoying. When it rips off investors, it’s illegal and destructive," said SEC Chairman Christopher Cox. "Today’s trading suspensions, and actions that
- Discussion threads 2007-03-11
- S.E.C. Attacks Stock Spam
- Some of you may recall that I recently pointed out the value of Spam in relation to the promotion of penny stocks http://blogs.techrepublic.com.com/security/?p=169 This is just an update to let you know that the U.S. Securities and Exchange Commission has today moved to suspend trading for ten days in 35...
- Blog posts 2007-03-09
- Net Report Sarbanes-Oxley IT Compliance White Paper
- In this paper Net Report examines the impact of the Sarbanes-Oxley Act along with related SEC Rules on IT's role in ensuring that company records, and the systems that create and store those records, are controlled and managed in a compliant manner. Net Report analyzes the following frameworks in the...
- White papers 2005-10-03
- Understand the impact of Sarbanes-Oxley compliance on your disaster recovery plan
- If you've recently added policies and software systems specifically for compliance with Sarbanes-Oxley requirements, you will also need to revamp your disaster recovery planning. Make sure you know the SOX basics. No discussion of disaster recovery DR and compliance issues would be complete without looking at the Sarbanes-Oxley...
- Technical articles 2006-02-27
- Records Management and sec Rules 17a-3 and 17a-4
- This white paper provides a discussion of records management requirements related to brokers-dealers as derived from and as a result of the Securities and Exchange Commission's Rules 17a-3 and 17a-4. It goes on to consider general records management issues as well as the specific records management implications of the SEC...
- White papers 2005-02-01
- Online brokerage account scams worry sec
- why can't we do this rightHow long have we known about the vulnerability of online accounts. And I still type the same password infrom any computer to get to my bank account.Can't we come up with some side channel method of generating a password for every login. I'm no experton...
- Discussion threads 2006-10-16
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