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.

Contents

Playing Catch-up in E-archiving

As firms get up to speed on electronic communications archiving requirements, many will be looking for help from third-party vendors.

The High Cost of Best Execution

Market-structure-altering regulations in the U.S. and Europe are driving brokers to adopt new technology or boost the performance of existing systems. But some firms may be avoiding the issue altogether.

Pre-trade Compliance: Better, Cheaper, Faster

As regulators and clients demand better transparency, reporting and accountability, securities firms are beefing up their pre-trade compliance technology.

Iron Mountain: Toward a Paperless Office

Iron Mountain is providing clients with hosted storage and quick access to digital copies of their physical records.

Compliance Is Still People-Powered

As compliance spending grows at a rapid clip at U.S. financial institutions, some are making investments in technology and integrating systems, which should ultimately cut costs, according to a Deloitte report.