Voter Information As a reminder, nominees are not permitted to vote for themselves which includes parent companies of nominees and representing PR firms First Name Last Name Company Professional Title Email Phone Voting Solution Provider Categories 1. Best Artificial Intelligence (A.I.) Implementation Artificial intelligence and machine learning (ML) technologies are shaking up major facets of securities operations from robo-advisors to reconciliation systems guided by A.I. implementations. This award will spotlight the industry participant that has done the most to advance operations via AI, ML or natural language processing (NLP) initiatives. Broadridge Financial Solutions Chatham Financial Confluence IPC Systems SmartStream Technologies 2. Best Blockchain Solution of the Year The securities industry is moving ahead with new solutions that use blockchain/distributed ledger technology (DLT) for cryptocurrency-based transactions or for advances in key operations. The new systems are beginning to challenge incumbent middle- and back-office systems that support multiple assets. Financial services firms, a variety of IT and service providers and other organizations are making blockchains a new, exciting reality. This award is meant to focus attention on the breakthrough systems that will advance securities operations the most. Broadridge Financial Solutions tZERO VAKT 3. Best Buy-Side Collateral Management Solution Optimizing collateral management has come into sharp focus for many buy-side firms especially as they have had to revamp their infrastructures to meet new regulatory regimes. Advances via distributed ledger technology (DLT) and artificial intelligence (A.I.) are easing workflows and compliance burdens. This award honors the provider, consultant, or internal IT organization that has been the most effective in helping buy-side operations staff achieve higher levels of internal efficiency in the oversight of collateral. AcadiaSoft & CloudMargin – CollateralManager DTCC’s Margin Transit Utility (MTU) SmartStream Technologies Trioptima 4. Best Buy-Side Enterprise Solution This award recognizes the provider that offers buy-side firms a comprehensive set of solutions for securities operations that helps firms achieve operational excellence. The solution set can be deployed onsite, use cloud computing technology, be completely outsourced, or use a combination of these deployment methods. The award is meant to reward the provider whose ambitious, enterprise-wide offerings have exceeded expectations. Adroit Trading Technologies InvestCloud J.P. Morgan Asset Management SimCorp Dimension SS&C Technologies 5. Best Client Reporting Solution This award honors the provider that has advanced the complex process of client reporting. The winner will demonstrate that it has improved the customization, look, and feel, and delivery of reports for many kinds of clients and portfolios. The award also recognizes progress in automating reports, managing source data, monitoring the status of productions, and clarity in performance reporting. Confluence Envestnet | Tamarac FactSet SimCorp Coric SS&C – Black Diamond Wealth Platform 6. Best Cloud Computing Solution Cloud computing has become part of the landscape for securities trading operations. More services and systems that were once strictly onsite are moving to the cloud. This award category is open to a variety of operations providers such as those that provide support via infrastructure-as-a-service (IaaS); platform-as-as-service (PaaS); software-as-a-service (SaaS); managed services; and cloud-native solutions. BNY Mellon | Pershing Broadridge Financial Solutions Cloud9 Technologies Eze Castle Integration Murex SS&C Eze Torstone Technology 7. Best Compliance Solution This award is for the solution that delivers a distinguished offering in a specialized area, designed to help meet a critical compliance need. The winning supplier must demonstrate an ability to keep pace with an evolving industry and show a level of achievement in improving their clients’ needs to meet obligations and optimize their operations. Solutions eligible for nomination can be from any niche area of compliance for equities, fixed income, and derivative instruments. In addition, solutions that focus on relevant aspects of regulatory, legal, data, social, and IT compliance are also eligible. DTCC’s FRTB Service Fiserv NICE Actimize SIX Verint 8. Best Corporate Actions Processing Solution Corporate actions processing continues to advance and this award spotlights the provider that has incorporated industry standards, advanced automation, data management, ESG data, and emerging technologies. The winner in this category will have helped its clients move closer to automation and streamlined processing. FIS Scorpeo SIX SmartStream Technologies 9. Best Cutting-Edge Ops Solution This award recognizes the industry participant that has successfully developed innovative financial technology solutions for middle- and back-office post-trade operations. Eligible areas of consideration include artificial intelligence/machine learning systems, cloud-native services, hybrids of legacy and cutting-edge IT, a groundbreaking offering that eliminates manual processes, and offerings that employ natural language processing. Apex Client Instant Access (CIA) – Omnigage Sudrania Fund Services Velocimetrics 10. Best Data Management Solution Managing data to get the most out of it for securities operations is an ongoing challenge for all financial services firms. Data that is optimized will yield multiple benefits for securities operations and beyond. This honor is for the provider that has demonstrated that it can help firms derive the most value from their clean data and pave the way for greater advancements to come. Eagle Data Management 11. Best Enterprise-Wide Derivatives Processing Solution Over-the-counter (OTC) and listed derivatives processing have endured major reforms over the past decade. Most recently, firms have had to adjust to the onset of uncleared margin rules (UMR) for non-centrally cleared derivatives. This award will focus attention on the provider that has stayed ahead of the curve for the many facets of derivative operations and kept its customers ahead of the competition. The winner in this category should be able to demonstrate how it helps streamline transaction creation and execution, optimize documentation support, eliminate error-prone manual steps, and help firms make the most of a new landscape. Adroit Trading Technologies FIS Kx Numerix 12. Best Financial Crime Prevention Technology Internal and external financial crimes against financial institutions are on the rise and firms are fighting this battle on many fronts. Providers have been advancing solutions to combat internal and external acts of fraud, insider trading, cyber-attacks, money laundering, terrorist financing, and multiple forms of corruption. This award will shine the light upon software, services, systems, and advances in surveillance that help firms protect themselves from danger and reputational damage. Fiserv IBM NICE Actimize 13. Best Margining Solution This new award will shine the spotlight on the solution that has helped industry participants, including investors and brokerages, vastly improve the margining process that is essential to meeting the new rules for uncleared derivatives transactions. The winning solution will also help firms to effectively navigate the capital, margin and segregation regulations that govern this very active area of the securities industry. This award category is open to providers, consultancies, industry organizations, and internal IT groups. Cassini Systems DTCC’s Margin Transit Utility (MTU) Numerix SmartStream Technologies 14. Best Middle-Office Solution The middle office plays an important role in optimizing operations across the enterprise. The winner in this category will be chosen from among the ranks of middle-office operations providers that offer IT resource management services, risk management, risk data analytics, client and security master database support, and services for the coding, configuration, and verification of trades. Confluence FactSet Orchestrade Quantifi Torstone Technology 15. Best Middle-to-Back-Office Integration Solution The middle and back-offices are no longer autonomous groups existing independently of each other. They are linked by multiple operations serving multiple assets. This award will spotlight the Ops offering that helps firm facilitate more efficient integration between middle- and back-office applications, particularly IT innovations that eliminate manual systems, legacy solutions and pave the way for operational efficiency. BNY Mellon | Pershing FIS J.P. Morgan Asset Management SimCorp Dimension SS&C Eze 16. Best New Post-Trade Solution This distinction focuses attention on the solution from a startup or an established provider that launched an exceptional offering during the past year. The new product should bring new efficiencies and new benefits to middle- or back-office systems. The new offerings to be considered should help the buy side meet crucial operational efficiency demands. New offerings for consideration can come from established providers or newcomers to the industry. AccessFintech FX HedgePool Refinitiv and NRI (BETA + I-STAR/GX) SmartStream Technologies 17. Best Operational Risk Management Solution Operational risk permeates everything that a financial services firm does, including securities trading and all the steps needed to complete a transaction. This award will go to the provider that has shown the most creativity in mitigating operational risk whether it is related to onboarding and KYC challenges, reputational concerns, margining and collateral management woes, data mismanagement, disaster recovery/business continuity, corporate governance, and other issues that may hamper operations. Drawbridge FIS Verint Wolters Kluwer 18. Best Ops Data Management Solution Managing data to get the most out of it for securities operations is an ongoing challenge for all financial services firms. Data that is optimized will yield multiple benefits for current efforts and beyond. This honor is for the provider that has demonstrated that it can help firms derive the most value from their clean data, and pave the way for greater advancements to come. Asset Control BNY Mellon Data and Analytics Solutions RIMES SmartStream Technologies SS&C Technologies Xenomorph 19. Best Outsourcing Provider Outsourcing plays a key role for many facets of securities operations. This category honors the provider that offers valuable, reliable, cost-effective and efficient outsourced services to the buy side. The winner in this category will be honored for offering the highest levels of reliability, security and adaptability, and for demonstrating capabilities for rapid implementations and flexible consumer models. Broadridge Financial Solutions Eze Castle Integration Siepe SmartStream Technologies SS&C Advent STP Investment Services 20. Best Performance Measurement System This category spotlights the performance measurement solution provider that offers systems for exemplary calculation of returns for portfolios (benchmarks and composites); calculation of attribution effects for equity and fixed-income portfolios; and calculation of ex-post risk, absolute and relative. This award also acknowledges the efforts that industry participants are making to advance performance measurement via the embrace of ESG concerns among investors and emerging disruptive technologies. BNY Mellon Data and Analytics Solutions Confluence FactSet Fiserv Investment Services (now Tegra118) J.P. Morgan Asset Management Solovis 21. Best Reconciliation Solution Reconciliation for securities operations has been the focus of a lot of energy over the past five years. The result is a wider range of opportunities available for firms looking for effective solutions. This category is an opportunity for the industry to reward the solution provider offering an innovative approach that yields great results and support, and helps firms reallocate resources to their advantage. Electra Information Systems Gresham Technologies SmartStream Technologies SS&C – Black Diamond Wealth Platform Trioptima Watson Wheatley 22. Best RegTech Solution Once firms have optimized their internal compliance ecosystems, they often need the support of regulatory technology providers. The RegTech providers considered for this category have demonstrated that they can help firms efficiently meet the external reporting and other demands of regulators, anti-money laundering requirements, and the latest domestic and international economic sanctions of governmental authorities. Suppliers that help participants with compliance in the listed, over-the-counter (OTC), and non-cleared derivatives markets are also eligible for this honor. Broadridge Financial Solutions NICE Actimize Red Deer SS&C Technologies VoxSmart Wolters Kluwer 23. Best Sell-Side Collateral Management Solution The collateral management complex involves many participants including sell-side firms that must work closely in conjunction with counterparties. This award recognizes the accomplishments of a provider, consultancy, industry organization, or internal IT group that has made great strides in helping sell-side operations maximize their collateral management operations via advances to the workflow, IT systems, and counterparty interactions. AcadiaSoft & CloudMargin – CollateralManager Broadridge Financial Solutions DTCC’s Margin Transit Utility (MTU) Murex SmartStream Technologies 24. FinTech Person of the Year This award will recognize a behind-the-scenes individual who has been highly effective in advancing a major financial technology issue impacting the industry. The person to be honored has devoted much time and effort toward proliferating a new standard, a key technology initiative, a regulatory-related project or a technology breakthrough that benefits the industry. The winner in this category must show that he or she can work across the aisle with business executives and staff. Corinne Neale, Global Head of Business Applications, BNY Mellon Data and Analytics Solutions John Wise, founder, InvestCloud Roman Ginis, CEO of Imperative Execution & Founder of IntelligentCross Sarah Biller, CoFounder, FinTech Sandbox & CMX 25. Ops Businessperson of the Year This award honors an executive-level individual who has advanced the cause of financial technology innovation from the business side of the aisle. The winner of this award can be from a solutions provider, an end-user firm, or related consultancy committed to improving securities operations for financial services firms. The winner must demonstrate that he or she has effectively worked with IT managers and operations staff. Ambika D’Souza, PMP, CIPM, Vice President, Performance & Analysis, T. Rowe Price Bob Santella, CEO, IPC Systems John Bottega, Executive Director, EDM Council Stevie Conlon, Vice President, Tax and Regulatory Counsel, Wolters Kluwer Tyler Derr, Chief Technology and Product Officer, Broadridge Financial Services 26. Service Provider of the Year The Service Provider of the Year will be celebrated for advancing the delivery of service, extraordinary client support, new synergies with key market participants and extraordinary leadership in the industry. The winner in this category must be able to show that it boosted the fortunes of its clients. FactSet FIS Fiserv Investment Services (now Tegra118) OpenDoor Securities Trioptima 27. Software Solution of the Year This award will recognize the software application or software system that over the past year has broken new ground in a major area of securities operations. This category is open to technology providers, industry organizations and financial services firms that are fully engaged in the advancement of operations software. The winning solution must have clear business benefits. Murex – MX.3 Numerix Oneview Solovis VestmarkONE® VMX EndToEnd (VMX) 28. The Editor's Choice Award During 2018, there were many efforts by industry participants to be more socially responsible. These initiatives included moves to satisfy clients’ ESG requirements, diversity outreaches, charitable causes, disaster relief task forces, and innovative ways to finance causes that benefit humanity. In an effort to acknowledge these positive movements, the Editor’s Choice Award for 2019 will focus upon an organization’s push to spur positive changes for all. The FTF News chief content officer, FTF staff, and eligible FTF awards participants can nominate a provider, industry group, end-user financial services firm, user group or individual that has embarked upon a successful endeavor to help humanity. The editor and FTF staff will pick the top nominees and then the ultimate winner. The group or person to be honored in this category can be from any Ops areas. Maria Gotsch, President & CEO, Partnership Fund for NYC Submit
