Category Archives: Compliance

Why Financial Services Brands Aren’t Equipped for Social Media Risk & Compliance

Guest Contributor: Devin Redmond, Nexgate CEO and Co-founder No longer are financial brands and organizations able to focus solely on storefronts, email aliases and toll free numbers for customer engagement and support. Nowadays, a brand must engage customers 24/7 in … Continue reading

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Insurance and Innovation: Are you In or Out?

Guest Contributor: Sheryl Brown, Social Media Coordinator, Ash Brokerage So when you say “financial services” or “insurance” do you immediately think of the word “innovation”? Um … likely not. (Hint: We are not the cool kids on the bus. I hate … Continue reading

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Information Technology Responsibility for Social Media

Guest Contributor: Blair Rugh, Chief Compliance Officer, Temenos Social media and other forms of electronic communication are becoming the principal advertising and marketing tools of many financial institutions. First, they are inexpensive. Second, they can be targeted as narrowly or broadly … Continue reading

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Exchange Traded Derivatives in an Automated World

Guest Contributor: Ted Leveroni, Executive Director – Strategy & Buy Side Relations at The Depository Trust & Clearing Corporation Global regulatory reform and market changes are impacting how the buy- and sell-side function in the exchange-traded derivatives (ETD) space. The … Continue reading

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Investor Protection: The Next Focus of Automated Compliance and Surveillance Systems

Guest Contributor: Magnus Almqvist, senior product specialist, SunGard’s Protegent The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing … Continue reading

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The Conversational Advisor: You mean I have to talk on social media?

Guest Contributor: Sheryl Brown, Social Media Coordinator, Ash Brokerage Social media is a communication mecca. Whether you’re introvert or extrovert, social media is the line drawn in the sand and makes both communication styles equal. For financial advisors, this is both … Continue reading

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Greek Mythology and the Boulder of Compliance

Guest Contributor: Stephen Taylor, Senior Market Manager, U.S. Enterprise Risk & Compliance, Wolters Kluwer Financial Services In Greek mythology Sisyphus, the King of Ephyra, was punished by the Gods for his wrong doing. His sentence? Roll a very heavy boulder … Continue reading

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Manage Risk, Comply with Regulations and Increase Alpha with an IBOR

Guest Contributor:  David Kubersky, President and Managing Director, SimCorp North America Fragmented position-keeping across the trade lifecycle presents significant risks to buy-side firms. As the SimCorp Journal paper, “The Investment Book of Record: One Version of Truth from Front- to … Continue reading

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Putting Your Social Media Policy into Practice – A Techie’s Guide

Guest Contributor: Terry Ray,Vice-President, Software Development, Temenos In January of 2013, the FFIEC released proposed guidance for financial institutions regarding social media. As the year draws to a close, if your institution has not already written, revised and gotten board … Continue reading

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Valuation Considerations for Illiquid OTC Derivatives

Guest Contributor: Matthew McFarland, Director, Business Development, CBOE Mandated clearing of certain interest rate swaps and credit default swaps was recently completed with the addition of Category 3 participants on September 9.  While the advent of mandatory clearing presents several challenges, … Continue reading

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