- "What is" Form PF?
- A Closer Look at FATCA Grandfathering
- "What Is" Mark-to-Market Accounting?
- "What is" Reference Data?
- ABOR, IBOR, MBOR, Etc. – Are We Getting BORed With Acronyms
- The History of the Wall Street Bull
- "What Is" Reconciliation?
- 1099 Changes Affecting OID Means Good News For Investors, Challenges For Brokers
- The Mysterious Role of the Clearinghouse
- 6 Steps to Implementing Operational Control
Tag Archives: Operational Risk
Andy Zolper, senior vice president and chief IT security officer at Raymond James Financial, tells FTF News about the potential threats that keep him up at night. Focusing on the emerging best practices that enable firms to protect against cyber … Continue reading
Tim MacDonald, chief risk offcer (CRO) at Boston Private Bank, speaks with FTF News about why firms should be taking into consideration the potential operational risks of new financial products, especially in the early developmental phases. This will save a … Continue reading
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