In honor of our upcoming Financial Crime & AML Compliance Breakfast Briefing in NYC on July 12th we have a financial crime related word search for you all today. Just print this post and let the searching begin! Happy Friday! K V P F S M T L G S Y O M J
Compliance
FTF Heads to Boston – Securities Ops Seminar Wrap-Up
In case you weren’t following our live updates on twitter last week (#FTFSecOps), I thought I would bring you up to speed on the issues discussed at our Securities Operations Seminar in Boston last week. The day got kicked off with a timely discussion on the impact of Dodd-Frank and other regulatory initiatives for securities
Financial Crime
Investment Advisers- Are They Willing to Pay Up to Keep FINRA Out?
There has been a lot of talk lately about FINRA taking the supervision responsibilities for investment advisers away from the SEC. Overall, the SEC is looking to find a way to monitor the investments adviser’s and prevent future scandals, such as the Madoff case, from happening again. This it seems is easier said than done
Dodd-Frank
Whistleblowers get 10 to 30
Recently, while going over the agenda for our upcoming 4th Annual Hedge Fund Operations and Technology conference with our Conference Director, Sarah Hathaway, I had an “ah-ha” moment. While we have written a number of blogs lately about the increase in the number of investigations and charges in regards to financial fraud (I even wrote
Compliance
Combining Forces Across the Exchanges in 2011
FINRA is making a New Year’s resolution to catch more insider traders in 2011 by revamping their market surveillance methods and data operating systems. Currently, FINRA oversees multiple exchanges where 80 percent of all U.S. trading occurs. Each exchange, such as the NYSE, NASDAQ and so on, has its own operating database that stores trade-related
Back-Office
Financial Technologies Forum: The Year Ahead
Well, I have to admit, as much as I love the Holidays and our company-wide break between 2011Christmas and New Year’s (I know, aren’t I a good boss?), it’s good to be back at work and back to a routine. There are lots of exciting things in store for FTF this year and the team
Financial Crime
He’s Making a List and Checking it Twice …
So we thought we would help the big guy in the red suit out this year and give him a heads up on who has been naughty and nice this year on Wall Street. Now I’m sure we are leaving many off this list, so be sure to add anyone you feel should be recognized,
Financial Crime
Deck the Halls with Inside Traders – A Wall Street Christmas Carol
In preparation for the week leading up to Christmas, FTF has decided to take a more holiday approach to our blogs this week. I am kicking off the festivities with a Christmas carol that we might hear being sung on Wall Street this year. Hope you enjoy and be sure to sing out loud to
Compliance
Insider Trading – A New Trend?
“Illegal insider trading is rampant and may even be on the rise,” said U.S. Attorney Preet Bharara in his recent interview with the New York Times. Throughout this past week the news has been scattered with reports claiming that a large insider trading investigation is reaching a close and that Wall Street should expect arrests
Financial Crime
Too Big To Fail is Back…
Earlier this week as I walked down Wall Street on my way to one of our securities industry training courses, I spotted a movie being filmed. While this is a normal occurrence in New York City, I’m always curious as to what’s being filmed, so I decided to take a quick detour to get a
