- "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
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
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
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
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