Author Archives: Katie Flanagan

“What is?” Coding a Compliance Rule Library

Posted on October 8, 2014 by Katie Flanagan

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 →

Posted in Compliance | Tagged , , | Leave a comment

The Corporate Actions Golden Copy: Cleansed Data for All

Posted on October 1, 2014 by Katie Flanagan

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 →

Posted in Corporate Actions, Guest Blog | Tagged , , , | 1 Comment

Insurance and Innovation: Are you In or Out?

Posted on July 23, 2014 by Katie Flanagan

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 →

Posted in Compliance, Social Media | Tagged , , | Leave a comment

Utilizing Big Data in the Financial Markets

Posted on July 16, 2014 by Katie Flanagan

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 →

Posted in Uncategorized | Leave a comment

Preparing for a Regulatory Exam: Tips and Guidelines

Posted on June 18, 2014 by Katie Flanagan

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 →

Posted in Uncategorized | Leave a comment

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

Posted on May 7, 2014 by Katie Flanagan

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 →

Posted in Compliance, Guest Blog, Social Media, Uncategorized | Tagged , , , , | Leave a comment