October 9, 2014 - Deutsche Bank today announced that Elizabeth J. Ford (Jan) will join as a Managing Director and Head of Compliance, Americas. She will join the North America Executive Committee.
October 9, 2014 - Reference Data Review readers have voted for SIX Financial Information as "Best Overall Regulatory Data Provider" at the Data Management Summit (DMS) Awards in London on 8 October 2014.
October 9, 2014 - (Bloomberg) -- Risk to the financial system is possible even without firms that are deemed too big to fail, Federal Reserve Governor Daniel Tarullo said.
October 8, 2014 - MPI Europe, the specialist financial services consultancy, publishes today the results of our annual market wide survey for brokerage commission sharing agreements.
October 8, 2014 - CGI (NYSE: GIB) (TSX: GIB.A) has opened a state-of-the-art UK Security Operations Center (SOC) in South Wales to provide 24/7, real-time protective monitoring for clients' in-house and cloud-based systems. In addition, its new cybersecurity center in Reading will provide clients with an advanced threat investigation service.
October 8, 2014 - Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced the introduction of Linedata Disclosure Manager, an automated compliance monitoring service.
October 7, 2014 - NYSE Group has announced NYSE Regulation will directly perform the market surveillance, investigation and enforcement functions for NYSE Group's three equities exchanges and two options exchanges upon the expiration of the contract with the Financial Industry Regulation Authority (FINRA) on December 31, 2015.
October 7, 2014 - OpenText™ (NASDAQ: OTEX, TSX: OTC), a global leader in Enterprise Information Management (EIM), today announced that the international, award-winning and independent wealth-structuring company, Hawksford Group, has implemented its EIM strategy to create a seamless, digital process for improving information governance and compliance.