SEC Gives Regulatory Approval For NASD And NYSE Consolidation

The Securities and Exchange Commission have now given final regulatory approval related to the consolidation of the member firm regulatory functions of the National Association of Securities Dealers, Inc. and NYSE Regulation, Inc., a wholly owned subsidiary of New York

SunGard Reveals Results From Year-Long MiFID Survey

A survey by SunGard, provider of software and processing solutions for financial services, and TradeTech, a research firm, has suggested that many financial services firms are unhappy with the support they are receiving from their national regulators as they prepare

Basel II Makes Banking System Safer, According To PRMIA Survey

PRMIA today announced preliminary findings from a recent survey of its members regarding Basel II Implementation Risk. The survey of over 1,100 bankers, consultants and regulators from over 85 countries who are active in Basel II implementation, was concluded July

Regulators Reach Agreement On Basel II Rules

US bank regulators finally reached agreement on Friday on the implementation of the Basel II capital rules, which will bring the regime for large US banks more in line with that already adopted in Europe, The Financial Times reports. The

Principal Financial Group Selects Oracle Fusion Middleware

Oracle announces that the Principal Financial Group, provider of retirement savings, investment, banking and insurance products, is using Oracle Identity Management to integrate its auditing functions to more effectively manage operational risks. As part of an 18 month development and

TradingScreen Announces Its 'MiFID In A Box'

TradingScreen, provider of multi broker, multi product EMS trading platforms, announced that it has developed a suite of new services to help its clients comply with the Best Execution obligations that will be imposed by the Markets in Financial Instruments

Industry Panel Calls For More Supportive Regulation

The FSA Smaller Businesses Practitioner Panel (the Panel) today releases its Annual Report for 2006 7. As a part of the regulatory accountability framework. The Panel represents the interests and views of smaller financial services firms, and monitors the overall