Pre-Trade Compliance Technology Gets Shot in the Arm from Crisis

Curtis, Carol E.
February 2010
Securities Industry News;2/22/2010, Vol. 22 Issue 4, p16
Trade Publication
The article reports on the compliance technology which securities firms are being compelled to invest in order to comply with compliance rules imposed in response to the financial crisis. Pre-trade technologies must ensure that transactions comply with the terms of the Investment Company Act of 1940. Among the functions of pre-trade technologies are the monitoring and compliance with client, regulatory and asset manager guidelines.


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