November 2006

Buy-Side OMSs Face the EMS Threat
Worried about the performance of their order management systems, buy-side traders are investigating execution management systems to gain an edge in faster equity markets.

MiFID Rules Break the Exchange Monopoly on Trade Reporting
A consortium of investment banks is building Project Boat, a platform for trade data reporting and market data publishing which will take advantage of new MiFID regulations.

Compliance Handoff: Hiring a Full-Time CCO Is Proving Costly for Advisers and Funds, Which Are Now Outsourcing the Entire Compliance Department
Gregg Jahnke was tired of being the acting CCO of Prudent Bear Funds, so in a move that is becoming common among small and mid-sized advisers and funds, he outsourced the position and the firm's compliance oversight to Guy Talarico and Alaric Compliance Services.

Adoption of Corporate Actions Standards Are Improving
While the quality of event data is still problematic, the adoption of corporate actions standards is on the rise.

Mathletes Cash In at UBS: TopCoder Member Ken Vogel Makes a Splash in Equities Development
Ken Vogel didn't join TopCoder looking for a job, but a job came looking for him when UBS evaluated his success in online competitive development.

SOX Pitfall: IT Support
With the first round of Sarbanes-Oxley (SOX) reporting closed, U.S. businesses now are shifting their attention to the next round of hurdles.

Is the Increased Speed of Direct Market Data Feeds Worth the Price?
Eectronic trading, direct market access and algorithms have made fast market data access not fast enough, but are direct feeds the answer?

On Shaky Ground
The underlying theme at SWIFT's SIBOS conference in Sydney in October was the need for financial industry participants to enhance their infrastructures.

Password and Identity Management Strategies Begin to Take Shape
As financial services firms come to grips with the vulnerability of their IT systems, best practices around password and identityt management becomes a paramount concern.

Populating CRM Databases
EMC Improves ILM
Reeling In Global Networks

Kase Lands at TradeTrek Securities
Sauvageau Decides to Enjoy His Golden Years
Sorice to Lead Merrill And ITG's Block Alert
Keeping Tabs

Slacking on Security
Automation Finds Investment Bankers
E-mail Archiving for Five Bucks or Less
MiFID: Good or Bad?
Warning! Failure Is Imminent
Top 10 IT Skills
Crisis Plans Undercut
Trading Technology Growth Slows
Mystery Shopping for Effective Fraud Prevention
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