Category Archives: Compliance

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

Posted in Compliance, Guest Blog | Tagged , | Leave a comment

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

Posted in Back-Office, Buy-Side, Compliance, Data Management, Derivatives, Dodd-Frank, Guest Blog, Operational Risk, Regulation, Securities Operations | Tagged , , , , , , | Leave a comment

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

Posted in Compliance, Guest Blog, Operational Risk, Social Media | Tagged , , , , , , | Leave a comment

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

Posted in Buy-Side, Clearing and Settlement, Compliance, Derivatives, Guest Blog, Operational Risk, Regulation | Tagged , , , , , , , , , | Leave a comment

Six Necessary Steps for Anti-Bribery and AML Screening Improvement

Guest Contributor:Henry Balani, Managing Director at BankersAccuity’s Risk and Compliance Group In an era of enhanced scrutiny, larger fines and the ongoing internationalization of anti-money laundering (AML) and anti-bribery regulations, organizations are facing increased risk and numerous challenges in achieving … Continue reading

Posted in Compliance, Financial Crime, Guest Blog, Operational Risk | Tagged , , , , , , | Leave a comment

Whitepaper: What to do when (and before) SEC examiners arrive in your office

Are You Compliance-Ready? 12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities Click here to download Discover: – What the changing regulatory landscape means for you – What the SEC is focusing on in 2013 and beyond – … Continue reading

Posted in Compliance, Regulation | Tagged , , , , , | Leave a comment

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 , , , , , , , , | Leave a comment