Category Archives: Compliance

Investor Protection: The Next Focus of Automated Compliance and Surveillance Systems

Guest Contributor: Magnus Almqvist, senior product specialist, SunGard’s Protegent The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing … Continue reading

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

The Conversational Advisor: You mean I have to talk on social media?

Guest Contributor: Sheryl Brown, Social Media Coordinator, Ash Brokerage Social media is a communication mecca. Whether you’re introvert or extrovert, social media is the line drawn in the sand and makes both communication styles equal. For financial advisors, this is both … Continue reading

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

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