- 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: Regulation
January 20, 2015 by Eugene Grygo (Contribution from Minding the Gap, a blog by FTF News editor, Eugene Grygo.) Thanks to the fines imposed upon Wall Street and insurance firms for their sins during the Great Recession, the New York State … 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: Kevin McPartland, Principal, Market Structure and Technology Advisory Service, Greenwich Associates Free-market capitalism will ultimately lead any marketplace to its ideal state. Over the past half-decade this principle has driven my hypothesis that regulators should not try to … Continue reading
Guest Contributor: Julie Conroy, research director, Aite Group Establishing a new, non-sovereign digital currency is not for the faint of heart. Bitcoin, the poster child for cryptocurrencies, has weathered a barrage of ups and downs over the last six months … 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
Guest Contributor: Michael Sits, head of business consulting, SunGard’s Capital Markets The potential impact of regulatory reform on financial firms’ business models has never been greater. Short selling, EMIR, CRD IV, MiFID and MAD revision are only a few of … Continue reading