Author Archives: Katie Flanagan

“What is?” Coding a Compliance Rule Library

Guest Contributor: Kristi Feinzig, Senior Consultant, IMP Consulting Automated rule libraries have become essential to the trading process, and can have a significant impact on the front office.  Rules that are accurate and precise facilitate a smooth pre-trade and post-trade check, … Continue reading

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The Corporate Actions Golden Copy: Cleansed Data for All

Guest Contributor: Brendan P. Farrell, Jr., executive vice president and general manager, XSP, SunGard As the volume and complexity of corporate actions events continue to grow, firms need to understand their risks and take action on events that require immediate attention. … Continue reading

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Insurance and Innovation: Are you In or Out?

Guest Contributor: Sheryl Brown, Social Media Coordinator, Ash Brokerage So when you say “financial services” or “insurance” do you immediately think of the word “innovation”? Um … likely not. (Hint: We are not the cool kids on the bus. I hate … Continue reading

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Utilizing Big Data in the Financial Markets

Guest Contributor: Larissa J. Miller, Founder and Board Member of Stuart Investments The financial markets have always been blessed with big data. While other industries are catching up to the markets in terms of size, the financial markets have moved … Continue reading

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Preparing for a Regulatory Exam: Tips and Guidelines

Guest contributor: Jimmy Douglas, Director of Alliances and Industry Relations at Smarsh. For financial services firms, policies governing the use of electronic communications, the preservation and production of electronic communications records, and evidence of message supervision procedures are a big part … Continue reading

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The Conversational Advisor: You mean I have to talk on social media?

Guest Contributor: Sheryl Brown, Social Media Coordinator, Ash Brokerage Social media is a communication mecca. Whether you’re introvert or extrovert, social media is the line drawn in the sand and makes both communication styles equal. For financial advisors, this is both … Continue reading

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