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When the financial focus shifts to regulation...

October 2, 2008 — 1:00pm ET | By Jim Kim
Hopefully the bailout package that passed will stabilize the markets to the point that the world can start discussing the real issue: how to regulate the financial markets and Wall Street. We've... Read more...

A delay in IFRS timetable release

October 2, 2008 — 12:59pm ET | By Jim Kim
Just two weeks ago, international financial reporting standards (IFRS) was a big deal. Companies were anxiously awaiting word of a concrete timetable, one that the SEC had promised. But then came the... Read more...

Gartner: More Sarbox-like regulation coming

September 20, 2008 — 9:30pm ET | By Jim Kim
Speaking of the possible new regulation to stem from the pyrotechnics on Wall Street, "the shadow will be longer than Enron, Sarbanes-Oxley, HIPAA, or any other regulation of modern times," said John... Read more...

Wall Street lobbyists find way around meal rules

August 28, 2008 — 9:05pm ET | By Jim Kim
If Sarbanes-Oxley did anything, it put ethics on the front burner. More companies paid lip service to the idea of ethics, if only for public relations purposes. But when the chips are down, ethics... Read more...

Be careful about orphaned accounts

August 20, 2008 — 5:56pm ET | By Jim Kim
In the wake of the Jerome Kerviel "rogue trader" scandal at Societe Generale, a lot of banks have stepped up efforts to prevent such a scandal. But companies across the board need to think about... Read more...

Would more contingent liabilities disclosure make Sarbox compliance hard?

August 18, 2008 — 8:07am ET | By Jim Kim
The FASB is responding to what it says is investor concern that current rules "do not provide adequate information to assist users of financial statements in assessing the likelihood, timing, and... Read more...

Can you control for rumors in your firm?

August 13, 2008 — 5:55pm ET | By Jim Kim
The time-honored practice of market chatter and gossip may pose as something of a regulatory issue for a lot of Wall Street firms, on the sell-side and the buy-side. The fear is that the SEC intends... Read more...

Messaging compliance on Wall Street at risk?

July 30, 2008 — 8:39am ET | By Jim Kim
A lot of Wall Street firms rely on Reuters Messaging Compliance Manager for compliance with Sarbanes Oxley and other regulation regarding logging and archiving of electronic communications regarding... Read more...

Take a multi-pronged approach to data security

July 20, 2008 — 8:37am ET | By Jim Kim
Data security is at the top of a lot of managers' minds these days. Perhaps we can learn from the financial services industry, where the issue is perennially on the front-burner. Aberdeen reports... Read more...

How much has Sarbanes-Oxley hurt start-ups?

July 3, 2008 — 9:29am ET | By Jim Kim
You've likely heard the news by now: In the second quarter, for the first time in 30 years, there were no venture capital-backed companies that went public. Zero! According to the report from the... Read more...
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