Guest Contributor: Philip Sindel, President & CEO, Olmstead Associates, Inc. If you have been keeping up with trends within securities industry operations and technology you have probably encountered the newest set of acronyms, all of which revolve around BOR or Book of Records. The most recent discussion has been whether ABOR (Accounting Book of Records)
Guest Blog
Turn Regulatory Demands into Business Drivers: Automate the Trade Execution Expense Management Process
Guest Contributor: Terence Faherty, head of product strategy at Bonaire Software Solutions Beyond investor calls for increased transparency, regulations are pushing for a more accurate trading fee calculations and invoice reconciliation process. A recent Bonaire poll revealed that many firms are challenged by data consistency and accuracy which raises concerns in light of today’s regulatory
Data Management
Establishing a Blueprint for Regulatory Change in Europe
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 the new pieces of European legislation. Tackling each one in isolation could result in a
Compliance
Six Necessary Steps for Anti-Bribery and AML Screening Improvement
Guest Contributor:Henry Balani, Managing Director at BankersAccuity’s Risk and Compliance Group In an era of enhanced scrutiny, larger fines and the ongoing internationalization of anti-money laundering (AML) and anti-bribery regulations, organizations are facing increased risk and numerous challenges in achieving and maintaining compliance. For any organization, successfully complying with AML and anti-bribery and corruption regulations
Uncategorized
Hedge Funds – the Next Frontier for Automated Reconciliation
Guest Contributor: John Landry, CEO, Electra The recent regulatory mandates and the increased flow of institutional money into hedge funds have created a growing demand for automated reconciliation systems from the asset management community. Global institutional investment in hedge funds will increase 56% to $2.3 trillion by the end of 2017, from the end of
Guest Blog
FATCA and the Not-So-Sweet Side of M&M’s
Guest Contributor: Kristin Swenton Hochstein, Co-Chair of ISITC Regulatory Working Group and Americas Head of Entity Risk for Thomson Reuters Ask most people to think of M&M’s and they probably would recall something colorful and sweet. Ask someone close to FATCA (Foreign Account Tax Compliance Act) and they would have a slightly different perspective on
Back-Office
Webinar: Derivatives Processing on Legacy Technology: Fear factor or real factor?
Derivatives Processing on Legacy Technology: Fear factor or real factor? Are legacy investment management systems the bane of your derivatives processing? An increasing number of buy-side organizations are implementing sophisticated strategies that employ derivatives. However outdated systems across the front-to-back office have not kept pace with the increasingly broad and bespoke range of investment products.
Dodd-Frank
New Technology Helps Advisors Give the Right Financial Advice
Guest Contributor: Cheryl Nash, President, Investment Services from Fiserv Many investors have come to the realization that they may not meet their retirement and other financial goals on their own, and are reaching out to financial advisors for expert guidance. These investors still remain risk averse and are demanding personalized advice and transparency into their
Compliance
Whitepaper: What to do when (and before) SEC examiners arrive in your office
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
