- "What Is" Mark-to-Market Accounting?
- Key Current Challenges of the Asset Management Industry and Operational Answers
- "What is" Form PF?
- Back to Business with CLO 2.0
- Reconciliation Vendors Say Cheeeeese
- "What Is" a Swap Execution Facility (SEF)?
- "What Is" ISO 20022?
- To RFP or not to RFP, that is the Question - Do a Proof of Concept Instead
- "What Is" A CCP?
- The History of the Wall Street Bull
Category Archives: Compliance
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
The Silver Butterfly Case – Straddles 101: Why tax straddles are important to a tax-aware portfolio strategy
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
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
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
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
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
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