Special Report

Compliance Technology

As firms get up to speed on regulatory requirements for the archiving of electronic communications, they increasingly will be in the market for compliance technology, much of it from third-party service providers. “Outsourcing is an insurance policy,” notes LiveOffice’s Matt Smith. Being out of compliance “makes everybody look bad.” Also in this report: Best-execution regulations in the U.S. and Europe are driving broker-dealers to adopt new technology or bolster existing systems; firms are beefing up their pre-trade compliance software; IT investments and systems integration could cut compliance costs; and more.

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