SECOverhaul

SEC to Overhaul Regulations for Asset Managers

The SEC is mulling new, comprehensive operational and risk management rules that will update and deepen its oversight of the asset management industry, according to SEC Chair Mary Jo White, who yesterday outlined “regulatory enhancements” for the “increasingly complex portfolio...
Businessman sailing on dollar boat

Aite: Spending on GRC Systems to Hit $400M

A federal appeals court on Wednesday overturned two convictions resulting from the government’s high-profile insider trading crackdown, a move that could make it much harder to prosecute such cases going forward. Nonetheless, firms are investing heavily in governance, risk and...
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Elizabeth Warren Attacks Dodd-Frank Section Repeal

U.S. Sen. Elizabeth Warren launched an attack on a provision in the omnibus, $1.1 trillion spending bill of Congress that would prevent Section 716 of the Dodd-Frank Act from ending federal government bailouts for financial services firms engaged in risky...
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Deutsche Bank Faces $190M Lawsuit for Alleged Shell Game

The U.S. government is charging that Deutsche Bank and its implicated entities took part in an elaborate shell game, dating back to the fall of 1999, and is asking the German bank to pay $190 million in taxes, penalties, and...
Scientific data

Time for a New Way to Fight Fraudsters?

Every year, hackers and other financial criminals cost financial services firms billions of dollars in stolen revenue. While it’s unlikely financial fraud will be stomped out altogether any time soon, Tom Ryan, CEO of Argyle Data, believes his startup has...
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Premier Profile: The Two Careers of Jennifer Litwin

Despite the big money and perks on offer, financial services professionals aren’t universally regarded as happy campers. This is the story of an apparent exception. Jennifer Litwin is a senior director and the head of relationship management at Greenwich Associates,...
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FTF Premier Special Report: Alice Corp. v. CLS Bank

The Alice Corp. v. CLS Bank battle went all the way to the U.S. Supreme Court and had major ramifications for financial services firms that rely heavily on third-party software, services and infrastructure technologies. In this in-depth report, FTF News...
Welcome to the Fall Edition of FTF News Magazine

Welcome to the Fall Edition of FTF News Magazine

FTF News’s cover story chronicles the expanding reach of compliance.

Our Fall 2014 edition of FTF News Magazine explores the world of post-trade operations in an Age of Compliance that now encompasses social media, cyber-security and voice-based derivatives trading.

 

Upcoming Events View All

  • Collateral Management for the Buy-Side

    With increased margin requirements and liquidity ratios, collateral management continues to become more and more important to buy-side managers. But is it up to the back office or front to manage it?

  • Performance Measurement New York 2015

    Join FTF for our annual performance measurement conference, discussing everything from GIPS and global client reporting standards, methods in fixed income attribution, measuring the performance of composites, and more.

  • DerivOps North America 2015

    Join DerivOps North America for a two-day, in-depth conference on all things derivatives operations. Combining our annual Chicago and New York event as well as our premier collateral management conference, DerivOps North America puts all the information you need to know in one place.

  • SecOps 2015

    This two-day conference will cover all things securities operations with separate streams covering reconciliations, corporate actions, and buy-side operations, including discussions on industry standards, STP, automation and more.

  • SMAC NY 2015

    Join FTF for our annual Social Media and Compliance in the Financial Services conference. From social media strategies to compliance issues, this is the premier event for new ideas, stronger systems, and increased connections for banks, asset managers, and insurance firms.

Upcoming Training View All

Minding the Gap View All

Eugene Grygo

Bridging the divide between the official story and what is really happening.

  • CRO Predictions from IDC Financial Insights

    For next year and beyond, most chief risk officers (CROs) at financial services firms will be bearing down on costly risk data architectures, credit analytics, fraud and cyber security with the hope of creating new risk efficiencies, according to key…
  • Glass Ceiling Still Holds for Women in Financial Services

    Unfortunately, the glass ceiling for women in executive positions in the financial services industry is still holding despite some positive fractures to the barriers to advancement, according to a report from management consultant Oliver Wyman. The findings of the annual…

Latest News View All

  • CFTC Loses DSIO Director to SEC

    CFTC officials report that Gary Barnett, director of the regulator’s division of swap dealer and intermediary oversight (DSIO), will depart the agency in January to take a senior position at the SEC. Tom Smith, currently deputy director for DSIO’s capital,…
  • FTF News Video: What Keeps Raymond James’ Cybersecurity Chief Up at Night?

    Andy Zolper, senior vice president and chief IT security officer at Raymond James Financial, tells FTF News about the potential threats that keep him up at night. Focusing on the emerging best practices that enable firms to protect against cyber…
  • Advent Upgrades Products via Partners, User Input

    Investment management systems and services vendor Advent Software has updated key offerings of its product suite, providing integration with other vendors’ offerings and incorporating ideas and even software from its user community, reports Robert Roley, vice president, solutions for Advent….
  • Duco Signs Four Firms for Recs Product

    Duco, a London-based provider of hosted reconciliation services, has signed four new customers in the past five weeks, officials say. China Merchants Securities (CMS) is the latest to adopt Duco Cube for its reconciliation and matching needs, signing last Friday,…

Latest Opinion View All

  • FTF News Video: AIG Official Foresees Benefits from Stress Tests

    Wed, 17 Dec 2014 14:00:28 +0000

    Op Risk veteran Lourenco Miranda speaks with FTF News about how firms can prepare for the stress tests, and the hidden benefits they might see after the process. Check out more FTF News video interviews from past events here.
  • FTF News Video: Thrivent Financial Embraces Social Media Compliance

    Mon, 15 Dec 2014 14:00:11 +0000

    In a video interview with FTF News, Thrivent Financial’s Stacey Eckes-Borys discusses the best practices for making certain social media usage comply with regulatory guidelines, and how firms can use technology to optimize the benefits from social media usage. Be … Continue reading
  • Boston Private Bank’s Tim MacDonald on Op Risk and New Financial Products

    Wed, 03 Dec 2014 15:00:12 +0000

    Tim MacDonald, chief risk offcer (CRO) at Boston Private Bank, speaks with FTF News about why firms should be taking into consideration the potential operational risks of new financial products, especially in the early developmental phases. This will save a … Continue reading
  • Cyber Monday Savings on FTF Premier News Access!

    Mon, 01 Dec 2014 18:51:41 +0000