Follow Us On Twitter
- Come to #booth1301 to get an invite to our party tonight! #SIFMATech 13 hours ago
- Great networking at #booth1301! #SIFMATech http://t.co/WV2wvnsp8j 14 hours ago
Top Posts
- "What Is" Mark-to-Market Accounting?
- 6 Steps to Implementing Operational Control
- Will the Futurization of Swaps Transform the Clearing Industry?
- Key Current Challenges of the Asset Management Industry and Operational Answers
- "What is" Form PF?
- To RFP or not to RFP, that is the Question - Do a Proof of Concept Instead
- The History of the Wall Street Bull
- Dodd-Frank IT Implications for Investment Firms: Disaster Recovery, Archiving
- "What Is" A Separately Managed Account (SMA)?
- "What is" Reference Data?
Category Archives: Financial Crime
Financial Crime & AML Compliance – Event Wrap-Up
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
Featured Speaker from FINRA Enforcement
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
Is Your Fund Politically Intelligent?
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
Posted in Compliance, Financial Crime, Hedge Funds, Regulation
Tagged Political Intelligence, STOCK Act
Leave a comment
Catching Up to Fraud
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
Posted in Compliance, Financial Crime, Financial Technology
Tagged Compliance, Financial Crime, Financial Technology
Leave a comment
Mobile Technology – Helpful or Hurtful?
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
Fun Friday! Financial Crime & AML Word Search
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
Posted in Compliance, Financial Crime, Fun Friday
Tagged Compliance, Financial Crime, Fun Friday
Leave a comment
FTF Heads to Boston – Securities Ops Seminar Wrap-Up
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
Investment Advisers- Are They Willing to Pay Up to Keep FINRA Out?
There has been a lot of talk lately about FINRA taking the supervision responsibilities for investment advisers away from the SEC. Overall, the SEC is looking to find a way to monitor the investments adviser’s and prevent future scandals, such … Continue reading
Whistleblowers get 10 to 30
Recently, while going over the agenda for our upcoming 4th Annual Hedge Fund Operations and Technology conference with our Conference Director, Sarah Hathaway, I had an “ah-ha” moment. While we have written a number of blogs lately about the increase … Continue reading
Posted in Dodd-Frank, Financial Crime, Wall Street
Tagged Dodd-Frank, Financial Crime, Wall Street
Leave a comment
Combining Forces Across the Exchanges in 2011
FINRA is making a New Year’s resolution to catch more insider traders in 2011 by revamping their market surveillance methods and data operating systems. Currently, FINRA oversees multiple exchanges where 80 percent of all U.S. trading occurs. Each exchange, such … Continue reading
Posted in Compliance, Dodd-Frank, Financial Crime, Regulation
Tagged Compliance, Dodd-Frank, Financial Crime, Regulation
1 Comment
