Category Archives: Dodd-Frank

“What is” a Hedge Fund

Posted on March 19, 2013 by

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 →

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

Posted on February 8, 2013 by

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 →

Posted in Cloud, Compliance, Corporate Actions, Data Management, Derivatives, Dodd-Frank, Financial Technologies Forum (FTF), Financial Technology, Reconciliations, Regulation, Securities Operations, Social Media | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Put Your Money Where Your Mouth Is

Posted on December 12, 2012 by

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 →

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Rethinking Reconciliation

Posted on November 7, 2012 by

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 →

Posted in Back-Office, Dodd-Frank, Guest Blog, Operational Risk, Reconciliations, Regulation, Securities Operations | Tagged , , , , , , , | Leave a comment

A LEI not from Hawaii

Posted on October 24, 2012 by

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 →

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“What is” Form PF?

Posted on August 28, 2012 by

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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“What Is” Dodd-Frank?

Posted on August 7, 2012 by

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 →

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Conference Wrap Up – 6th Annual OTC Derivatives Ops & Processing

Posted on November 21, 2011 by

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 →

Posted in Back-Office, Buy-Side, Conference and Event Planning, Derivatives, Dodd-Frank, Financial Technologies Forum (FTF) | Leave a comment

All Eyes on the UK as FSA Mobile Recording Deadline Looms

Posted on November 9, 2011 by

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 →

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Buy-Side’s Laying Low on Derivatives Reform… For Now

Posted on August 23, 2011 by

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 →

Posted in Buy-Side, Derivatives, Dodd-Frank | Leave a comment