- "What is" Form PF?
- "What Is" Mark-to-Market Accounting?
- "What is" Reference Data?
- A Closer Look at FATCA Grandfathering
- Will the Futurization of Swaps Transform the Clearing Industry?
- 1099 Changes Affecting OID Means Good News For Investors, Challenges For Brokers
- Dodd-Frank IT Implications for Investment Firms: Disaster Recovery, Archiving
- The History of the Wall Street Bull
- Key Current Challenges of the Asset Management Industry and Operational Answers
- "What Is" FINRA?
Tag Archives: Financial Crime
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
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
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
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
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
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
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