- "What is" Form PF?
- "What Is" Mark-to-Market Accounting?
- A Closer Look at FATCA Grandfathering
- "What is" Reference Data?
- The Fully Outsourced Fund Manager
- "What Is" Reconciliation?
- Phase 3 Cost Basis Reporting: Top Challenges for Brokers
- The History of the Wall Street Bull
- Back to Business with CLO 2.0
- Cloud Computing Adoption in Asset Management
Tag Archives: Operational Risk
Guest Contributor: John Jay, Senior Analyst, Aite Group The Securities and Exchange Commission (SEC) is coming to the rescue of the investment community; it is considering leveling civil fraud charges against credit rating agencies (CRAs) — in particular Standard & Poor’s … Continue reading
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
Quantifi recently released survey results concerning how financial firms plan on implementing new solutions in order to manage and measure their counterparty risk. According to the survey results, 100 percent of respondents either have already or plan on implementing major … Continue reading
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
When someone hears the term “cyber crime” they will usually think of their personal information being stolen, for instance when someone steals your credit card information and goes on a shopping spree. However, cyber crime no longer strictly applies to … Continue reading
For all of those who attended yesterday’s 5th Annual OpRisk Conference we would like to thank you for making it such a great event! Also, we would like to send a special thank you to all the knowledgeable speakers and … Continue reading
This week I came across an article in Wall Street & Technology that discussed GRC and the need for firms to implement technology in efforts to increase their automation and increase their control over risk and compliance. With GRC being … Continue reading
Risk management has become extremely important in the past year or two. The risk management teams at many firms have begun to reassess their roles and the way they manage risk in order to prevent past mistakes from being repeated. … Continue reading
The Senior Supervisors Group (SSG) has recently published a report that assesses the progress financial institutions have made in developing and building infrastructures to measure their risk appetite. This report is a follow up to their 2008 report which identified … Continue reading