- Charles River clients gain intraday access to @InteractiveData mandatory/voluntary #corpactions/dividends/cap events ftfnews.com/news/charles-r… 1 day ago
- Happy 100 RJO! Oldest/largest U.S. independent brokerage/clearing firm reaches centennial year ftfnews.com/news/rjo-turns… http://t.co/G0OnjC0rCj 1 day ago
- "What is" Form PF?
- A Closer Look at FATCA Grandfathering
- The History of the Wall Street Bull
- "What Is" Mark-to-Market Accounting?
- Back to Business with CLO 2.0
- Why Financial Services Brands Aren't Equipped for Social Media Risk & Compliance
- How to Engage Millennials: Best Technology Practices for Financial Advisors
- "What Is" FINRA?
- When is the Cloud Not the Cloud?
- The Mysterious Role of the Clearinghouse
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