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Top Posts
- "What Is" Mark-to-Market Accounting?
- The History of the Wall Street Bull
- Reconciliation is the Key to Controlling OTC Derivative Exposures for the Buy Side
- "What is" Form PF?
- "What Is" a Corporate Action?
- Pressing Cost Basis Challenges Deserve Close Attention of Mutual Fund Companies
- Preparing for Options and Fixed Income Cost Basis Reporting
- What is a Hedge Fund Hotel?
- Stone Street Guide
- Performance Fees – Good or Bad? Part I
Category Archives: Compliance
Back to Business with CLO 2.0
Guest Contributor: Mike Molaro, Managing Partner, NorthPoint Financial Some of what were perceived to be the riskiest securities of the pre-financial crisis are back. The Collateralized Loan Obligation (CLO) market indicators are pointing to a profitable resurgence and growing inventory for … Continue reading
Posted in Compliance, Guest Blog, Wall Street
Tagged CDO, CLO, CLO 2.0, Collateralized Loan Obligation, MBS, Mike Molaro, NorthPoint Financial, risk, Wall Street
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What Can Hedge Fund Administrators Learn from Madonna?
Guest Contributor: George Michaels, CEO, G2 FinTech One could say Madonna owes a great deal of her multi-decade success to her ability to “reinvent” herself and keep pace with the ever-changing music scene. The hedge fund administration industry could learn … Continue reading
Posted in Compliance, Guest Blog, Hedge Funds, Regulation, Uncategorized
Tagged FATCA, G2 FinTech, George Michaels, hedge fund administrators, NAV
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FTF News Predictions for 2013 – Download our Digital Issue Today!
To say the least, FTF News is very proud to present our first completely digital magazine. As you flip through the pages (love those sound effects) and admire the look of it, you will see that we are making some … Continue reading
Posted in Cloud, Compliance, Corporate Actions, Data Management, Derivatives, Dodd-Frank, Financial Technologies Forum (FTF), Financial Technology, Reconciliations, Regulation, Securities Operations, Social Media
Tagged Abacus Group, Adam Honore, aite group, Brendan Farrell, byallaccounts, Cloud, Deloitte, disaster recovery, Dodd-Frank, Eagle Investment Systems, Enterprise Data Management, Eugene Grygo, Eze Castle Software, FATCA, FTF News, G2 FinTech, Gerard Bermingham, Gresham Computing, Henry Napier, ICBCFS, Industrial and Commercial Bank of China Financial Services, Information Mosaic, John Needham, John Watts, Joss Technology, La Meer, Needham Consulting, OTC Reform, Paladyne, PricewaterhouseCoopers, Prospera Financial Services, Reconciliations, Scott Dillman, SEFs, Social Media Compliance, SunGard, Super storm Sandy, Virginie O'Shea, Woodbine Associates, XSP
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“What Is” GIPS?
The Global Investment Performance Standards (GIPS) is a set of voluntary, ethical principles that govern the reporting, valuation, advertising and disclosure issues of the funds overseen by investment management firms. The GIPS benchmarks are primarily used when investment managers present … Continue reading
Posted in Buy-Side, Compliance, Performance Measurement, What is series
Tagged CFA, CFA Institute, GIPS, Performance Measurement
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Webinar: IRS Form 8937 Impact on ROC Reporting for 2012 Form 1099 [Complimentary]
New IRS Form 8937 Puts Brokers Between a ‘ROC’ and a Hard Place for 2012 Form 1099 Reporting Return of capital (ROC) reporting season is here. Under the cost basis reporting law, brokers must now make basis adjustments for ROCs … Continue reading
“What Is” The Foreign Account Tax Compliance Act (FATCA)?
The Foreign Account Tax Compliance Act (FATCA) is a regulation enacted by the U.S. federal government to stem tax evasion by US citizens and residents using offshore accounts. Under FATCA, the government will obtain information to foster more transparency into … Continue reading
Posted in Compliance, Corporate Actions, Regulation, What is series
Tagged FATCA, FFI's, HIRE
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Can Cube or OLAP Technology Prove to be the New Disruptive Force in Risk Management Solutions?
Guest Contributor: By David Priestly, CEO of OpenLink’s CubeIntelligence Division Every so often, markets become dominated by so called “disruptive technology” solutions that offer a genuine order of magnitude improvement in functionality, speed, flexibility and cost. Cubes or OLAP (online … Continue reading
Posted in Compliance, Guest Blog, Operational Risk, Uncategorized
Tagged OLAP, OpenLink, Risk Management
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ANNOUNCING: Keynote Speaker CFTC Commissioner Bart Chilton
We are excited to announce that CFTC Commissioner Bart Chilton will be the keynote speaker for our 7th Annual OTC Derivatives Operations & Processing Conference on November 14, 2012! His career spans 25 years in government service—working on Capitol Hill in … Continue reading
Posted in Compliance, Conference and Event Planning, Derivatives, Financial Technologies Forum (FTF), Financial Technology, Regulation, Social Media
Tagged CFTC, Compliance, Conference and Event Planning, Derivatives, financial regulation, Financial Technologies Forum (FTF), OTC, Seonaid MacDonald
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“What is” Form PF?
Form PF (private fund) is a new SEC rule that requires private fund advisers to report regulatory assets under management, dubbed RAUM, to the Financial Stability Oversight Council (FSOC), an organization established under Dodd-Frank in order to monitor risks within … Continue reading
Posted in Compliance, Dodd-Frank, Hedge Funds, Regulation, What is series
Tagged CFTC, financial regulation, Form PF, FSOC, RAUM, SEC
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Less Means More
“Less Means More” three little words with a significant meaning. Unless you are talking about Regulation and Compliance, then “More Means More!” After the crisis in 2008, the financial industry needed to make changes in the regulatory system. But with … Continue reading
