- "What Is" Mark-to-Market Accounting?
- Back to Business with CLO 2.0
- "What Is" a Swap Execution Facility (SEF)?
- "What is" Form PF?
- Key Current Challenges of the Asset Management Industry and Operational Answers
- To RFP or not to RFP, that is the Question - Do a Proof of Concept Instead
- "What is" Reference Data?
- The Salesperson’s Role in the IT War
- 6 Keys to Reconciliation: What Asset Management Operations Really Need to Know [Complimentary Whitepaper]
- Emoticon :) or not to Emoticon :( ? That is the Question.
Category Archives: Dodd-Frank
A hedge fund is a private partnership investment fund that uses complex investment strategies with the goal of maximizing returns on the funds’ underlying investments. Accredited investors run hedge funds and pool money in order to make risky, yet profitable … Continue reading
Guest Contributor: Mark Ransom Day, Senior Account Executive, Marketing, Cognito Five Rules for Articulation and Advertising in a Post Dodd-Frank World In its current version, Dodd-Frank has 383,013 words. Anna Karenina has 349,736. Dodd-Frank is actually longer than one of … Continue reading
Guest Contributor: Michael Alexander, EVP & COO Business Process Outsourcing, Broadridge Financial Solutions Financial institutions can enhance risk management and reduce costs through a reconciliation global center of excellence. Timing is critical. The cost of falling further behind industry standards … Continue reading
Guest Contributors: Nigel Jenkinson and Irina S. Leonova, Financial Stability Board The recently published FSB report entitled ‘A Global Legal Entity Identifier (LEI) for Financial Markets’ started with an introduction: “There is widespread agreement among the public authorities and financial … Continue reading
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
The Dodd-Frank Wall Street Reform and Consumer Protection Act, most commonly referred to as Dodd-Frank, is a major piece of federal legislation established in response to the Great Recession of 2008-09. The crisis was primarily fueled by the housing bubble … Continue reading
Well, it’s a wrap on our 6th Annual OTC Derivatives Operations & Processing conference, which was held last week in New York City. But in case you weren’t able to make it this year, here are a few highlights from … Continue reading
Global regulators align around FSA mobile call recording regulation Guest Contributor: Curtis Nash, CEO, Compliant Phones This Monday (14th November), an important regulatory and operational milestone for firms operating in the capital markets will be reached in the UK. The … Continue reading
I just saw an interesting video on Tabb Forum about where the buy-side lies regarding derivatives reform. Kevin McPartland from Tabb Group and Chad Wekelo from Actualize Consulting discuss this issue and comment that with the uncertainty surrounding Dodd-Frank and … Continue reading