Category Archives: Compliance

Financial Crime & AML Compliance – Event Wrap-Up

Posted on August 2, 2012 by

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 →

Posted in Compliance, Conference and Event Planning, Financial Crime, Financial Technologies Forum (FTF) | 1 Comment

Featured Speaker from FINRA Enforcement

Posted on June 21, 2012 by

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 →

Posted in Compliance, Conference and Event Planning, Financial Crime, Financial Technologies Forum (FTF), Regulation | Leave a comment

Is Your Fund Politically Intelligent?

Posted on May 24, 2012 by

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 →

Posted in Compliance, Financial Crime, Hedge Funds, Regulation | Tagged , | Leave a comment

6 Steps to Implementing Operational Control

Posted on April 19, 2012 by

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 →

Posted in Compliance, Financial Technology, Guest Blog, Regulation | Leave a comment

The Silver Butterfly Case – Straddles 101: Why tax straddles are important to a tax-aware portfolio strategy

Posted on April 4, 2012 by

Guest Contributor: George Michaels, G2 FinTech With tax season right around the corner, we wanted to shed some light on the historical creation of straddles and why they are important to a tax-aware portfolio strategy. A straddle is a set of … Continue reading →

Posted in Compliance, Corporate Actions, Uncategorized | Leave a comment

The Mandatory LEI – Countdown to Implementation

Posted on March 13, 2012 by

FTF will be hosting a complimentary webinar on March 28, 2012 at 11a.m. EDT on the upcoming LEI being mandated by Dodd-Frank…. The financial services industry has been looking to push for the use of Legal Entity Identifiers (LEIs) for some … Continue reading →

Posted in Back-Office, Buy-Side, Compliance, Data Management | Tagged , | Leave a comment

Catching Up to Fraud

Posted on August 9, 2011 by

I have to admit, I’ve never really thought about what steps go into catching the masterminds behind financial crime.  I’ve heard all about firms upping their compliance and updating their strategies to catch suspicious activity internally, but I have never … Continue reading →

Posted in Compliance, Financial Crime, Financial Technology | Tagged , , | Leave a comment

Mobile Technology – Helpful or Hurtful?

Posted on July 5, 2011 by

Mobile technology is currently a hot topic for the financial services industry. Many industry publications, including our own FTF News, have written special reports (I will link Eugene’s article here) exploring the growing mobile technology space and the new prospects … Continue reading →

Posted in Compliance, Financial Crime, Financial Technology, Securities Operations | Tagged , , , | Leave a comment

Fun Friday! Financial Crime & AML Word Search

Posted on June 21, 2011 by

In honor of our upcoming Financial Crime & AML Compliance Breakfast Briefing in NYC on July 12th we have a financial crime related word search for you all today.  Just print this post and let the searching begin! Happy Friday! … Continue reading →

Posted in Compliance, Financial Crime, Fun Friday | Tagged , , | Leave a comment

FTF Heads to Boston – Securities Ops Seminar Wrap-Up

Posted on June 21, 2011 by

In case you weren’t following our live updates on twitter last week (#FTFSecOps), I thought I would bring you up to speed on the issues discussed at our Securities Operations Seminar in Boston last week.  The day got kicked off … Continue reading →

Posted in Compliance, Conference and Event Planning, Dodd-Frank, Financial Crime, Financial Technology, Securities Operations | Tagged , , , , , | Leave a comment