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Dodd-Frank Impact on Front Office White Paper
sponsored by Advent Software, Inc
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In the wake of the market meltdown of 2008, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 empowered the SEC is step up stricter enforcement of both new and existing rules. This paper identifies 5 key SEC alarms and explains how the right technology can support best practices to avoid triggering them.
View now to explore the role of the IT leader in critical issues including:
- Insider trading
- Books and records retention
- Best execution and broker evaluation
- Code of ethics
- Service provider due diligence
- And more
(THIS RESOURCE IS NO LONGER AVAILABLE.)
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Available Resources from Advent Software, Inc
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