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Tag Archives: Financial Crime
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
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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
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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
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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
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Financial Technologies Forum: The Year Ahead
Well, I have to admit, as much as I love the Holidays and our company-wide break between 2011Christmas and New Year’s (I know, aren’t I a good boss?), it’s good to be back at work and back to a routine. … Continue reading
Posted in Back-Office, Conference and Event Planning, Derivatives, Financial Crime, Financial Technologies Forum (FTF), Financial Technology, Hedge Funds, Performance Measurement, Securities Operations
Tagged Back-Office, Conference and Event Planning, Derivatives, Financial Crime, Financial Technologies Forum (FTF), Financial Technology, Hedge Funds, Performance Measurement, Securities Operations
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He’s Making a List and Checking it Twice …
So we thought we would help the big guy in the red suit out this year and give him a heads up on who has been naughty and nice this year on Wall Street. Now I’m sure we are leaving … Continue reading
Deck the Halls with Inside Traders – A Wall Street Christmas Carol
In preparation for the week leading up to Christmas, FTF has decided to take a more holiday approach to our blogs this week. I am kicking off the festivities with a Christmas carol that we might hear being sung on … Continue reading
