- 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
Tag Archives: SEC
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
Tax Alert on Recently Announced Relief on Money Market Fund Floating NAV Wash Sale, Form 1099-B and Gain/Loss Calculations
Guest Contributor: Stevie D. Conlon, Senior Director and Tax Counsel, Wolters Kluwer Financial Services The author thanks John Kareken and Anna Vayser of Wolters Kluwer Financial Services for their assistance. There were several important announcements made last month by the … Continue reading
Are You Compliance-Ready? 12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities Click here to download Discover: – What the changing regulatory landscape means for you – What the SEC is focusing on in 2013 and beyond – … Continue reading
Guest Contributors: Eric Hazard and Jade Faugno, Intermarket Communications In the immortal words of Heraclitus, “change is the only constant,” and once again the financial services industry – and those who communicate about it – will find ourselves evolving with … 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
A hedge fund is a private partnership investment fund that uses complex investment strategies with the goal of maximizing returns on the funds’ underlying investments. Accredited investors run hedge funds and pool money in order to make risky, yet profitable … Continue reading