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Securities Firm Avoids NASD Penalties With FaceTime IMAuditor
White Papers Instant messaging (IM) is posing supervisory, recordkeeping and compliance challenges for securities trading firms. With IMAuditor's search and reporting tool, the securities firm was able to easily access specific IM conversations and quickly...
[June 16, 2007, 1:00]
Securities law may speed Google's IPO
News Google appears to be in no hurry to become a publicly traded company, but a little-known securities regulation might force it to start behaving like one. Securities law requires private companies that exceed a certain level of stock distribution to...
[December 11, 2003, 8:55]
E.SUN Securities Evaluates Intel vPro Processor Technology to Streamline Security Management Processes
White Papers Taiwan's E.SUN Securities is no stranger to using Information and Communications Technology (ICT) to further its financial services business. The company relies very much on technology despite being spread across 13 locations and supporting over...
[January 1, 2009, 0:00]
Securities Trading Back Office Solutions Overview
White Papers Securities Trading is a major financial services company based in Japan, providing knowledge and IT solutions for financial business worldwide. The IT solution provider has been looking for specialists in constructing flexible back office solutions...
[June 13, 2008, 1:01]
Diagnostic Tools Streamline Performance Improvements for Securities Market Platform
White Papers When a new issue comes to market, i-Deal provides a powerful online platform where issuers, brokerage firms, investors, and mutual fund managers can issue billions of dollars' worth of securities in minutes.
[February 23, 2007, 0:00]
HP Technology Helps the International Securities Exchange (ISE) Revolutionize the Options Industry
White Papers In May 2000, the International Securities Exchange (ISE) took one of the biggest risks on Wall Street: trading options with no trading room floor - only terminals. Today, the ISE has proven itself to be one of the industry's biggest success stories.
[August 26, 2006, 0:00]
Polaris Securities Uses Intel vPro Processor Technology to Improve IT Management and Data Security
White Papers Polaris Securities is a leading Taiwan securities company and a well-known brand name for online securities trading in the country. Additionally, Polaris Securities maintains a Chinese language international trading platform servicing 200 million...
[January 1, 2009, 0:00]
The First Strong Personal Authentication for Domestic Securities Achieved by One-Time Password Protection
White Papers Nomura Securities' "Hotto-Direct" is a Japanese non-store online trading service. Hotto-Direct targets investment novices rather than customers who are relatively used to existing Internet securities.
[September 19, 2009, 1:22]
Daiwa Securities SMBC Europe Limited Uses Salesforce to Boost Client Relationships
White Papers Daiwa Securities SMBC Europe Limited ("Daiwa") is a wholly owned subsidiary of Daiwa Securities SMBC Co. Ltd. In the rapidly moving capital markets business, one can't stop talking to a client just because a salesperson is out for the day.
[July 12, 2006, 0:00]
Capital Securities Corporation Protects Clients With Check Point
White Papers A leader in Taiwan's competitive securities industry, Capital Securities Corporation currently ranks fourth in market share. Since maintaining customer confidence is vital to Capital Securities' success, it takes many steps to ensure its VIP...
[August 4, 2008, 19:08]
mySAP CRM Improves Service at Oesterreichische Kontrollbank AG's Securities Services
White Papers Since its foundation in 1946, Oesterreichische Kontrollbank AG (OeKB) has been regarded as Austria's central financial and information service provider for export management and capital market accounts.
[September 14, 2007, 1:00]
Taifook Securities Group Limited: Better Gateway for a Growing Economy
White Papers Taifook turned to HP to help synchronize data center operations with surging business demands and achieve unprecedented flexibility, reliability and value from its IT investment.
[November 14, 2007, 0:01]
Southwest Securities Meets Increasing Market Demands Through SQL Server 7.0 Upgrade
White Papers Southwest provides clearing services, investment banking, and management services to 239 broker/dealer firms in 34 states, Canada, Europe, and the Pacific Rim. The company currently processes more than 50,000 trades per day - a number that has...
[August 10, 2007, 11:00]
QuotesTK Basic
Downloads QuotesTK quickly downloads securities grouped by their designated index. It keeps your indices up-to-date by automatically downloading the most recent securities lists to reflect delisted securities and security additions.
[January 24, 2009, 3:26]
Suspected Trojan-horse conman arrested
News The US Securities and Exchange Commission and the Department of Justice filed charges on Thursday against a 19-year-old Pennsylvania man accused of using a Trojan horse to steal money from another man's brokerage account.
[October 10, 2003, 10:45]
Market Montage Solution Supports 200,000 Updates Per Second With SQL Server 2005
White Papers Securities and Exchange Commission's Regulation NMS (requiring dealers to use best-available pricing when executing securities orders), it thought it would need a Cray supercomputer or other specialized solution.
[April 16, 2008, 1:02]
Tech insider-trading scheme sees six charged
News US federal prosecutors have charged a prominent hedge-fund manager and five others with securities fraud resulting from insider trading involving some of the tech industry's best-known companies, including Intel, Google and IBM.
[October 19, 2009, 10:10]
SEC clamps down on spammers and hackers
News The Securities and Exchange Commission has taken action against alleged stock promoters and hackers thought to have broken into trading accounts. The Securities and Exchange Commission (SEC) suspended trading on Thursday in the securities of 35...
[March 9, 2007, 8:07]
Building Best Practices in Records Management Compliance: ILM Strategies for Security, Protection, Recovery and Availability
White Papers According to this white paper part of the Securities Exchange Act of 1934 - which extended federal regulation of securities trading past the limited scope of the Securities Act of 1933 - the rule is 70 years old.
[September 27, 2005, 3:00]
Google's share giveaways may have been illegal
News Google may have run afoul of securities laws when it doled out millions of shares to employees and consultants over the past three years, according to a document filed on Wednesday with the Securities and Exchange Commission.
[August 5, 2004, 8:20]
