Tag Archives: Compliance

ANNOUNCING: Keynote Speaker CFTC Commissioner Bart Chilton

Posted on August 30, 2012 by

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 →

Posted in Compliance, Conference and Event Planning, Derivatives, Financial Technologies Forum (FTF), Financial Technology, Regulation, Social Media | Tagged , , , , , , , | Leave a comment

Less Means More

Posted on August 9, 2012 by

“Less Means More” three little words with a significant meaning. Unless you are talking about Regulation and Compliance, then “More Means More!” After the crisis in 2008, the financial industry needed to make changes in the regulatory system. But with … Continue reading →

Posted in Compliance, Conference and Event Planning, Financial Technologies Forum (FTF), Regulation | Tagged , , , , | Leave a comment

Catching Up to Fraud

Posted on August 9, 2011 by

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 →

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Mobile Technology – Helpful or Hurtful?

Posted on July 5, 2011 by

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 →

Posted in Compliance, Financial Crime, Financial Technology, Securities Operations | Tagged , , , | Leave a comment

Fun Friday! Financial Crime & AML Word Search

Posted on June 21, 2011 by

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 →

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FTF Heads to Boston – Securities Ops Seminar Wrap-Up

Posted on June 21, 2011 by

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 →

Posted in Compliance, Conference and Event Planning, Dodd-Frank, Financial Crime, Financial Technology, Securities Operations | Tagged , , , , , | Leave a comment

Good Risk Management = Good Business Management

Posted on June 21, 2011 by

Guest Contributor: Todd Cooper, Vice President and General Manager of Enterprise Risk Compliance, Wolters Kluwer Financial Services The financial services industry is definitely at a crossroads when it comes to compliance and risk management. One road leads to growth, but … Continue reading →

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Too Big to Fail?

Posted on June 21, 2011 by

While watching Too Big to Fail last night on HBO I was reminded of an article I read last week titled “Clearing Houses ‘Would Not Have Prevented Financial Crisis’”. Basically, the article’s point was that while there have been efforts … Continue reading →

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Regulators vs. Traders

Posted on June 21, 2011 by

Traditionally, OTC derivative trades are not required to take place over an exchange, but regulators are working on changing that very soon. The OTC derivatives market has been boisterously opposing the potential new regulations that will require them to now … Continue reading →

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Dodd-Frank IT Implications for Investment Firms: Disaster Recovery, Archiving

Posted on June 21, 2011 by

Guest Contributor: Mary Beth Hamilton, Director of Marketing, Eze Castle Integration At 800+ pages, the Dodd-Frank Wall Street Reform and Consumer Protection Act is far reaching and requires a serious time commitment to comb through. As the deadline approaches, investment … Continue reading →

Posted in Compliance, Dodd-Frank, Financial Technology, Guest Blog, Operational Risk | Tagged , , , , | Leave a comment