- "What Is" Mark-to-Market Accounting?
- A Closer Look at FATCA Grandfathering
- "What is" Form PF?
- Reconciliation is the Key to Controlling OTC Derivative Exposures for the Buy Side
- 6 Keys to Reconciliation: What Asset Management Operations Really Need to Know [Complimentary Whitepaper]
- "What Is" Reconciliation?
- The History of the Wall Street Bull
- ABOR, IBOR, MBOR, Etc. – Are We Getting BORed With Acronyms
- The Fully Outsourced Fund Manager
- "What Is" ISO 20022?
Category Archives: Compliance
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
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
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
“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
We recently held our 2nd Annual Financial Crime & AML Compliance Breakfast event on July 18th, and we couldn’t have asked for better timing! With so many recent AML investigations including ING, HSBC and the Vatican, we knew the sessions … Continue reading
We are pleased to have Sarah Green, Senior Director in the Enforcement Division at FINRA sitting on a panel at our upcoming 2nd Annual Financial Crime & AML Compliance breakfast briefing on July 18th. Sarah specializes in anti-money laundering (AML) … Continue reading
Thanks to the upcoming presidential election, we have been flooded with campaign ads and promises from each candidate. So, I started to think about how the upcoming election will affect the financial services industry. With so much new regulation and … Continue reading
Guest Contributor: Patrick Murray, President & CEO, STP Investment Services Enron WorldCom Lehman Brothers AIG Madoff MF Global… Due to disastrous events at companies like those listed above, increased regulation and strict compliance requirements for financial firms are here to … Continue reading