Sponsored White Papers, Webcasts, and Downloads
Additional Resources
- Search Tool Helps NASD Save Time, Gain Better Management Capabilities
- NASD is the primary private-sector regulator of the United States securities industry. It oversees the activities of more than 5,100 brokerage firms, approximately 105,000 branch offices, and more than 650,000 registered securities representatives. The organization relies on electronic document analysis to investigate complaints and examine NASD-regulated firms. As part of...
- Tags: Search Tool, NASD, Tool, Organization, Productivity, Search
- Case studies 2006-02-01
- Capital Securities Corporation Protects Clients With Check Point
- A leader in Taiwan's competitive securities industry, Capital Securities Corporation currently ranks fourth in market share. Since maintaining customer confidence is vital to Capital Securities' success, it takes many steps to ensure its VIP clientele benefit from the most secure environment possible for electronic transactions. Capital Securities needed a cost-effective,...
- Tags: Check Point Software Technologies Ltd., Internet, Network Security, Security, Networking
- Case studies 2008-01-10
- Dell Helps Merlin Securities Prepare for the Future of the Hedge Fund Industry
- Merlin Securities needed a reliable, high-performance IT infrastructure to provide medium and large-sized hedge funds with advanced portfolio management tools and near-real-time reporting. As a solution Merlin Securities deployed clustered Dell PowerEdge 2850 and PowerEdge 1850 servers with Intel Xeon processors running an Oracle Database 10g on the Linux operating...
- Tags: Security, Dell Computer Corp., Hedge Fund, Investment, Financial Services, Disaster Recovery, Servers, Processors, Finance, Data Management, Hardware, Semiconductors, Components
- Case studies 2006-03-01
- Building Best Practices in Records Management Compliance: ILM Strategies for Security, Protection, Recovery and Availability
- According to this white paper part of the Securities Exchange Act of 1934 - which extended federal regulation of securities trading past the limited scope of the Securities Act of 1933 - the rule is 70 years old. And, Rule 17a-4 is merely an original section within that legislation that...
- Tags: Security, SunGard Data Systems Inc., Recovery, Financial, Best Practice, Records Management, Regulations, Financial Accounting, Strategy, Government, Finance, Management
- White papers 2004-10-07
- 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...
- Tags: Financial, Compliance, SEC, NASD, Biscom, Act, Regulations, Financial Accounting, Government, Finance
- White papers 2007-04-17
- ADP Securities Industry Software Chooses BMC to Deliver the Infrastructure Availability and Reliability Needed to Attain ISO 9001 Certification
- ADP Securities Industry Software (ADP/SIS) provides IT services to regional securities brokerage firms located across the United States. Speed, accuracy, and reliability are essential in the financial services industry, where a delay of even a few seconds in completing a transaction could cost hundreds of thousands of dollars. ADP/SIS is...
- Tags: Software, BMC Software Inc., Certification, ISO 9001, Automatic Data Processing Inc., SiS, ADP Securities Industry Software, It Management, Tqm/Six Sigma/ISO 9000, Iso standards, It service Management, It Operations, Quality, Business Operations
- Case studies
- Payoff for Securities Firms: Ways to Permanently Improve Back Office Cost Structures
- In 2001, securities industry revenues dipped dramatically - the largest decline in 20 years - and spurred a similar drop in profit margins. Securities firms have tried to prop up margins by reducing capacity, but with top-line growth stalled, they have only one avenue for increasing shareholder value in the...
- Tags: Back-office, IBM Corp., Operational Accounting, Security, Finance
- White papers
- QuotesTK Basic (exe)
- Investors who want quick access to free historical stock quotes, look no further. QuotesTK quickly downloads securities grouped by their designated index. It keeps your indices up-to-date by automatically downloading the most recent securities lists to reflect delisted securities and security additions. Because of QuotesTK's multi-threading capabilities, you won't have...
- Tags: Multi-threading, Security
- Software downloads 2007-11-23
- Quake III Arena The Regulator Map (zip)
- This is a custom map for Quake III. The Regulator is a new map for Quake III Arena. This map supports bots and is available for capture the flag or free for all gameplay modes.
- Tags: Regulator, Regulations, Government
- Software downloads 2004-03-01
- Government Regulator Streamlines Public Service With Customer-Centric Solution
- The Pensions Regulator aims to offer a more responsive and professional customer service as part of its customer contact strategy. Its existing business solutions were becoming dated, making access to information unwieldy for staff dealing with customers. A Microsoft Dynamics CRM implementation has made a significant difference, giving these employees...
- Tags: Regulator, Customer, Microsoft Corp., Government Regulator, Microsoft Dynamics CRM Implementation, Customer Relationship Management (CRM), Product Marketing, Regulations, Advertising & Promotion, Enterprise Software, Software, Marketing, Government
- Case studies 2007-08-01
- Borland Starteam Has Strengthened Communication Between Production and Development Teams for BNP Paribas Securities Services
- BNP Paribas Securities Services supplies security certificate services to financial institutions worldwide. With 400 IT workers, including 180 Java developers at work on some 60 applications, with a managed volume of 17 GB, Securities Services sought a solution for organizing its growing number of Java development projects. Borland StarTeam was...
- Tags: Team, Borland Software Corp., Borland Starteam, Team Management, Java, Programming Languages, Management, Software Development, Software/Web Development
- Case studies
- Worldwide Stock Monitor (exe)
- The Worldwide Stock Monitor gathers 1800+ Worldwide Finance Securities Stock Exchanges Web sites. It allows you to monitor Worldwide Stock daily trends directly. A very quick and easy way to stay in touch with your favourite Finance Securities Stock Exchanges around the whole world. Read your Securities Stock Exchanges Information...
- Tags: Stock, Stock Exchange, YiFei Software, Worldwide Stock Monitor, Investment, Finance
- Software downloads 2008-04-29
- Canadian Securities Depository Achieves Superior Disaster-Recovery Capability With StorageTek Solutions
- The Canadian Depository for Securities Ltd. CDS is the nation's securities depository, clearing and settlement organization. CDS supports Canada's equity, fixed income and money markets, holding securities on deposit with a value of $2 trillion, which is equal to double the country's annual GDP. After careful analysis of its infrastructure...
- Tags: Disk, StorageTek, Disaster Recovery
- Case studies
- Daiwa Securities SMBC Europe Limited Uses Salesforce to Boost Client Relationships
- Daiwa Securities SMBC Europe Limited ("Daiwa") is a wholly owned subsidiary of Daiwa Securities SMBC Co. Ltd. In the rapidly moving capital markets business, one can't stop talking to a client just because a salesperson is out for the day. The company needed a Client Relationship Management CRM system that...
- Tags: Salesforce.com Inc., Sales Force Management, Sales
- Case studies
- Ontario Teachers' Pension Plan Improves Financial Securities Reference Data
- Ontario Teachers' Pension Plan (Teachers') is the manager of a pension fund for Ontario's active and retired teachers and is an active global investor. Teachers' had systems in place to automate and validate securities feeds. However, the information was fragmented and not consolidated into a common database. This limited the...
- Tags: Financial, Pension Plan, Teacher, Ontario, Benefits, Databases, Human Resources, Enterprise Software, Software, Data Management
- Case studies 2005-12-08
- Slovenian Banking Institution Saves Much More Than Money
- Centralna Klirinsko Depotna Druzba d.d. KDD provides central securities custody services, clearance and settlement of securities transactions, and maintenance of the central registry of holders of securities in the Republic of Slovenia. KDD faced the shortcomings of a monolithic application, installed on an IBM platform, for which there were not...
- Tags: Banking, Microsoft Corp., Microsoft Windows Server 2003, Security, Databases, Servers, Operating Systems, Microsoft Windows, Software, Enterprise Software, Data Management, Hardware
- Case studies
- Securities Firm Avoids NASD Penalties With FaceTime IMAuditor
- Instant messaging IM is posing supervisory, recordkeeping and compliance challenges for securities trading firms. Though this form of real-time communication may not be as mature as e-mail and paper-based communications, it is not exempt from the compliance standards set forth by the NASD and SEC. FaceTime IMAuditor provides 100% accurate...
- Tags: Security, IM, Compliance, NASD, FaceTime Communications, FaceTime IMAuditor, Instant Messaging, Internet, Online Communications
- Case studies
- Harbor Capital Advisors Turns the Tide With Sage CRM SalesLogix
- Harbor Capital Advisors HCA is the adviser and investment arm of a family of 12 no-load mutual funds that offer actively managed portfolios of stocks, bonds, and money market securities with combined assets of approximately $17.2 billion. HCA Securities, Harbor Capital's broker dealer, had limited marketing activities, primarily with institutions....
- Tags: Sage CRM SalesLogix, Sage Software, Advisor, Harbor Capital Advisors, Investment, Retirement Plans, Finance, Human Resources, Benefits
- Case studies
- EMC EmailXtender Products and EMC Centera Provide Time and Cost Savings and Reduce e-Mail Recovery Times
- Adirondack Electronics Markets AEM, a privately held company and member of the International Securities Exchange ISE, is the primary market maker of the ISE. AEM was seeking a solution to help it comply with Securities Exchange Commission SEC, (National Association of Securities Dealers NASD, and Sarbanes-Oxley requirements regarding e-mail retention...
- Tags: E-mail, EMC Centera, EMC Corp., Storage, Hardware
- Case studies
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