- 6 Steps to Implementing Operational Control
- "What Is" Reconciliation?
- "What is" Form PF?
- "What is" A Derivative?
- 6 Keys to Reconciliation: What Asset Management Operations Really Need to Know [Complimentary Whitepaper]
- The Mandatory LEI - Countdown to Implementation
- FTF News Video: What Keeps Raymond James’ Cybersecurity Chief Up at Night?
- "What Is" Dodd-Frank?
- "What Is" a Swap Execution Facility (SEF)?
- New Cost-Basis Concerns
Category 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
Op Risk veteran Lourenco Miranda speaks with FTF News about how firms can prepare for the stress tests, and the hidden benefits they might see after the process. Check out more FTF News video interviews from past events here.
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: Ted Leveroni, Executive Director – Strategy & Buy Side Relations at The Depository Trust & Clearing Corporation Global regulatory reform and market changes are impacting how the buy- and sell-side function in the exchange-traded derivatives (ETD) space. The … Continue reading
Guest Contributor: David Kubersky, President and Managing Director, SimCorp North America Fragmented position-keeping across the trade lifecycle presents significant risks to buy-side firms. As the SimCorp Journal paper, “The Investment Book of Record: One Version of Truth from Front- to … Continue reading
Guest Contributor: Matthew McFarland, Director, Business Development, CBOE Mandated clearing of certain interest rate swaps and credit default swaps was recently completed with the addition of Category 3 participants on September 9. While the advent of mandatory clearing presents several challenges, … Continue reading