- "What is" Form PF?
- "What Is" Mark-to-Market Accounting?
- "What is" Reference Data?
- 1099 Changes Affecting OID Means Good News For Investors, Challenges For Brokers
- The History of the Wall Street Bull
- A Closer Look at FATCA Grandfathering
- "What Is" Reconciliation?
- Key Current Challenges of the Asset Management Industry and Operational Answers
- 6 Steps to Implementing Operational Control
- Back to Business with CLO 2.0
Category Archives: Compliance
January 20, 2015 by Eugene Grygo (Contribution from Minding the Gap, a blog by FTF News editor, Eugene Grygo.) Thanks to the fines imposed upon Wall Street and insurance firms for their sins during the Great Recession, the New York State … Continue reading
Guest Contributor: Kristi Feinzig, Senior Consultant, IMP Consulting Automated rule libraries have become essential to the trading process, and can have a significant impact on the front office. Rules that are accurate and precise facilitate a smooth pre-trade and post-trade check, … Continue reading