Category Archives: Compliance

Whitepaper: What to do when (and before) SEC examiners arrive in your office

Are You Compliance-Ready? 12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities Click here to download Discover: – What the changing regulatory landscape means for you – What the SEC is focusing on in 2013 and beyond – … Continue reading

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Back to Business with CLO 2.0

Guest Contributor: Mike Molaro, Managing Partner, NorthPoint Financial Some of what were perceived to be the riskiest securities of the pre-financial crisis are back. The Collateralized Loan Obligation (CLO) market indicators are pointing to a profitable resurgence and growing inventory for … Continue reading

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What Can Hedge Fund Administrators Learn from Madonna?

Guest Contributor:  George Michaels, CEO, G2 FinTech One could say Madonna owes a great deal of her multi-decade success to her ability to “reinvent” herself and keep pace with the ever-changing music scene. The hedge fund administration industry could learn … Continue reading

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FTF News Predictions for 2013 – Download our Digital Issue Today!

To say the least, FTF News is very proud to present our first completely digital magazine. As you flip through the pages (love those sound effects) and admire the look of it, you will see that we are making some … Continue reading

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“What Is” GIPS?

The Global Investment Performance Standards (GIPS) is a set of voluntary, ethical principles that govern the reporting, valuation, advertising and disclosure issues of the funds overseen by investment management firms. The GIPS benchmarks are primarily used when investment managers present … Continue reading

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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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