SEC
RSS SECProposed Amendments to Regulation S-P Safeguard & Disposal Rules: Risk Mitigation and Compliance Solutions for Organizations Falling Under SEC Rules
White Paper The Securities and Exchange Commission (SEC) currently has a series of Safeguards and Disposal Rules (Section 30a of Regulation S-P) that requires institutions to adopt written policies and procedures to safeguard... [13 Nov 2009]
Financial Services Regulatory Highlights
White Paper Past June, the Department of Treasury released a White Paper on Financial Regulatory Reform calling on the SEC and CFTC to make recommendations to Congress for changes to statutes and regulations that would harmonize... [13 Nov 2009]
Converting to International Financial Reporting Standards: Planning Considerations for US Tax Executives
White Paper The timeline provided in the SEC's proposed roadmap provides companies with the opportunity to develop a strategic, timely, and comprehensive plan to approach, analyze, and manage the conversion to IFRS in a measured and... [13 Nov 2009]
IT Must Play a Key Role in Adapting to IFRS
White Paper In late November 2008, the Securities and Exchange Commission (SEC) released for comment its proposed roadmap of the steps required for conversion from US Generally Accepted Accounting Principles (US GAAP) to... [13 Nov 2009]
Making Sense of Message Archiving Requirements
White Paper Some of these are industry specific such as Sarbanes-Oxley (SOX), SEC regulation 17, NASD 3010, 21CFR part 11 and HIPAA. There are many regulations that cover Message Archiving and the overall category of Electronic Media. [13 Nov 2009]
The Impact of New Communication Tools for Financial Services Firms
White Paper Regulators, such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the Financial Services Authority (FSA) and others have established regulations regarding the appropriate... [13 Nov 2009]
Data Retention Compliance
White Paper On December 3, 2002, the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE), and NASD announced joint actions against Deutsche Bank Securities, Inc. Organizations that do not address data... [12 Nov 2009]
SEC-SNMP: Policy-Based Security Management for Sensor Networks
White Paper This paper presents a sensor network security management framework called Sec-SNMP, which organizes and manages security related behaviors in sensor networks based on security policies. There are three main components in... [11 Nov 2009]
Total Call Recording for Regulatory Compliance
White Paper The financial industry, for example, is regulated by the SEC, FDIC, and other government sectors put in place to ensure consistency in the way financial data is handled. From the call center to the trading floor,... [11 Nov 2009]
Smooth Transition: Preparing for IFRS
White Paper The SEC proposes that 2014 be the first year for US registered companies to file their financial statements in International Financial Reporting Standards (IFRS) format. This white paper covers how to effectively... [30 Oct 2009]
Compliance: SEC 17a-4/NASD 3010/3110
White Paper All aspects of the SEC and NASD regulations are effective today. In the wake of the 1928 stock market crash and the uncovering of widespread securities fraud, the U.S. Congress enacted the Securities Exchange Act of 1934. [09 Oct 2009]
PKWARE Case Study: Banking Institution #2
White Paper The challenge was to meet SEC Compliance and limit employee encryption capabilities based on employee job function(s). Company deployed PKZIP for Windows desktop which resulted in SEC Compliance and... [01 Oct 2009]
Skype founders vs Skype: 'You've violated our patents'
News Referring to that suit, eBay's SEC filing regarding the sale of Skype says "consummation of the deal was subject to 'no settlement of the pending litigation with Joltid Limited having been effected without the consent of... [17 Sep 2009]
Oracle's Ellison to take $1 salary this year
News According to the SEC filing, he owns 1.18 billion shares of Oracle, or 23.4 per cent of the company's total stock. Oracle CEO Larry Ellison will receive a base salary of $1 for fiscal 2010, according to a regulatory... [24 Aug 2009]
Data Center Fabric: Leveraging 8 Gbit/sec Fibre Channel End to End in the Data Center
White Paper In addition, 8 Gbit/sec is needed for server virtualization, scaling of fabrics, backups, and high-performance computing requirements. Every data center user has or will have these needs in the future, and as data center... [07 Aug 2009]
