- "What Is" Mark-to-Market Accounting?
- Putting Your Social Media Policy into Practice – A Techie’s Guide
- "What is" Form PF?
- "What is" Reference Data?
- New Collateral Requirements Could Be an Operational Nightmare For Asset Managers
- Phase 3 Cost Basis Reporting: Top Challenges for Brokers
- ABOR, IBOR, MBOR, Etc. – Are We Getting BORed With Acronyms
- "What Is" Reconciliation?
- The History of the Wall Street Bull
- "What Is" A CCP?
Category Archives: Operational Risk
Guest Contributor: Matthew McFarland, Director, Business Development, CBOE Mandated clearing of certain interest rate swaps and credit default swaps was recently completed with the addition of Category 3 participants on September 9. While the advent of mandatory clearing presents several challenges, … Continue reading
Turn Regulatory Demands into Business Drivers: Automate the Trade Execution Expense Management Process
Guest Contributor: Terence Faherty, head of product strategy at Bonaire Software Solutions Beyond investor calls for increased transparency, regulations are pushing for a more accurate trading fee calculations and invoice reconciliation process. A recent Bonaire poll revealed that many firms … Continue reading
Guest Contributor:Henry Balani, Managing Director at BankersAccuity’s Risk and Compliance Group In an era of enhanced scrutiny, larger fines and the ongoing internationalization of anti-money laundering (AML) and anti-bribery regulations, organizations are facing increased risk and numerous challenges in achieving … 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
Guest Blogger: David Kubersky, Managing Director of SimCorp North America Silos, in the farming industry, refer to large structures designed to hold a specific grain. In technology, silos refer to the division between groups within a single enterprise and ‘silo … Continue reading
Guest Contributor: Laurent Jacquemin, executive vice president, post-trade derivatives, SunGard’s capital markets business In the derivatives industry, significant, year-over-year transaction volume growth has become the norm. With high-frequency trading driving up the volumes of trades to hundreds of thousands or … Continue reading
Guest Contributor: Jason Scharfman,, Esq., CFE, CRISC, Managing Partner, Corgentum Consulting In the past, many hedge fund managers may have cringed at the mere thought of an investor inquiring about conducting a distinct operational due diligence review. Such reticence represents a … Continue reading