- "What is" Form PF?
- "What Is" Mark-to-Market Accounting?
- A Closer Look at FATCA Grandfathering
- The 7 Data Extraction Problems That Plague Corporate Actions and the 1 Solution to Them All
- Back to Business with CLO 2.0
- The History of the Wall Street Bull
- "What is" Reference Data?
- 1099 Changes Affecting OID Means Good News For Investors, Challenges For Brokers
- "What Is" a Corporate Action?
- Six Necessary Steps for Anti-Bribery and AML Screening Improvement
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