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 – How to perform a self-exam of your firm’s compliance readiness – Questions to ask yourself
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FTF News Summer/Fall 2013 Digital Issue
Back-Office
Replacing Legacy Systems: An Opportunity for Change to Drive Better Investment Performance
Guest Contributor: David Kubersky, SimCorp North American Managing Director We have long left behind typewriters, walkmans and VHS tapes, yet millions in assets are still managed on systems that existed before Windows 1.0. The inherent characteristics of legacy systems act as major detriments to a capital markets firm’s performance. Legacy systems utilize antiquated programming languages,
Financial Technologies Forum (FTF)
FTF News Endorses Fun & Games at the Sifma Show
Guest Contributor: Eugene Grygo, Editor, FTF News All seriousness aside, we at FTF News are doing our part to have fun at next week’s Sifma Tech show, June 18-19, in New York. The good times begin at our Sifma booth, No. 1301, where we have created a customized parody of a popular, old school electronic
Guest Blog
FATCA – The IGA Puzzle
Guest Contributor: Colin Camp, Managing Director – Products & Strategy at Dion Even though the final regulations have been published, the sheer volume of ‘noise’ around FATCA and the ‘will they, won’t they?’ stories regarding the signing of Inter-Governmental Agreements (IGAs) is creating a great deal of uncertainty in the market. This is added to,
Derivatives
Will the Futurization of Swaps Transform the Clearing Industry?
Guest Contributor: John Omahen, vice president of SunGard’s post trade derivatives solutions The dictionary defines the word “swap” as to change or interchange, to move, and even “to thrash,” a computer term meaning to move data into and out of the core rather than perform the useful computation. Regardless of which definition one chooses, each
Compliance
Back to Business with CLO 2.0
Guest Contributor: Mike Molaro, Managing Partner, NorthPoint Financial Some of what were perceived to be the riskiest securities of the pre-financial crisis are back. The Collateralized Loan Obligation (CLO) market indicators are pointing to a profitable resurgence and growing inventory for these instruments. CLOs are special purpose vehicles (SPVs) with securitization payments in the form of
Data Management
Regulations: Cure or Calamity?
Guest Contributor: James Wells III, Marketing Communications Manager at Imagine Software Just as Form PF transformed the alternative investment segment by adding a massive operational burden and forcing firms to reassess their risk management practices, new CFTC regulations are reshaping the clearing industry. By adding a slew of rules intended to increase customer access to
Guest Blog
SEC Socializes Public Disclosure
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 the ever-changing technological landscape. On April 2, the U.S. Securities and Exchange Commission (SEC) issued
What is series
“What Is” A Broker-Dealer?
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 when firms act on their own behalf as principals in transactions. Broker-dealers include firms that
