Category Archives: Compliance

Webinar: IRS Form 8937 Impact on ROC Reporting for 2012 Form 1099 [Complimentary]

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

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“What Is” The Foreign Account Tax Compliance Act (FATCA)?

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

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Can Cube or OLAP Technology Prove to be the New Disruptive Force in Risk Management Solutions?

Guest Contributor:  By David Priestly, CEO of OpenLink’s  CubeIntelligence Division Every so often, markets become dominated by so called “disruptive technology” solutions that offer a genuine order of magnitude improvement in functionality, speed, flexibility and cost. Cubes or OLAP (online … Continue reading

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ANNOUNCING: Keynote Speaker CFTC Commissioner Bart Chilton

We are excited to announce that CFTC Commissioner Bart Chilton will be the keynote speaker for our 7th Annual OTC Derivatives Operations & Processing Conference on November 14, 2012! His career spans 25 years in government service—working on Capitol Hill in … Continue reading

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“What is” Form PF?

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

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Less Means More

“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

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Financial Crime & AML Compliance – Event Wrap-Up

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

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Featured Speaker from FINRA Enforcement

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

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Is Your Fund Politically Intelligent?

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

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6 Steps to Implementing Operational Control

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

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