Category Archives: Compliance

Can Good Come from the Sins of Wall Street?

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

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FTF News Video: Thrivent Financial Embraces Social Media Compliance

In a video interview with FTF News, Thrivent Financial’s Stacey Eckes-Borys discusses the best practices for making certain social media usage comply with regulatory guidelines, and how firms can use technology to optimize the benefits from social media usage. Be … Continue reading

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“What is?” Coding a Compliance Rule Library

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

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FTF Rings the Opening Bell for Nasdaq

Maureen Lowe provides a first-person, behind-the-scenes account of ringing the opening bell for the Nasdaq trading day.  As you might have seen in our announcements earlier this week, the Nasdaq invited FTF to ring the opening bell yesterday as we … Continue reading

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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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