- 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: What is series
In securities trading, the term broker-dealer refers to individuals or firms that facilitate the buying and selling of securities. The “broker” half of the term refers to when firms act as agents for clients. The “dealer” role encompasses those times … Continue reading
Corporate governance is defined as the framework of rules that provide direction for a company’s business functions. These guidelines helped executives, board members and other managers run a company in order to achieve its long-term goals and manage crises. Ultimately, … Continue reading
In global securities trading, the term direct market access (DMA) refers to the complex of networking, routing and software facilities that allow buy- side firms to cost-effectively execute transactions via regional and global trading venues. DMA services enable buy-side firms … Continue reading
The International Swaps and Derivatives Association, a.k.a. ISDA, was established in 1985 by those in the privately negotiated, over-the-counter (OTC) derivatives trading markets. ISDA wants to achieve three mains goals: reduce counterparty credit risk, increase market transparency and improve the … Continue reading
Operational risk is classified as a form of loss caused by a company’s internal processes, which can be failures in a financial services company’s systems and people. In addition, operational risk can include legal actions or environmental events that serve … Continue reading
A key component of financial services is the buying and selling of investment instruments—chief among them is the trading of equity also known as stocks. The meeting place for buyers and sellers is an exchange, defined as a marketplace for … Continue reading
Performance measurement is the process by which investors and others collect and examine information about financial services firms and their capabilities to make a profit. In general, the performance measurement department of a financial services firm such as a hedge … Continue reading