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Firms Need to Prepare for Sec Lending Reporting

August 20, 2024 by Eugene Grygo

Firms Need to Prepare for Sec Lending Reporting

(Last year, the SEC approved Rule 10c-1a, intended to bring new transparency to securities lending transactions via reporting and dissemination requirements. Earlier this year, the Financial Industry Regulatory Authority (FINRA) proposed a new facility allowing covered securities loan transactions to be reported to the self-regulatory organization (SRO) for U.S. broker-dealers. The proposed system, the Securities… Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Corporate Actions, Data Management, Industry News, Operational Risk, Ops Automation, Digital Transformation, FinTech Trends, Back-Office, Standards, Opinion, Q&As, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, data management, Financial Industry Regulatory Authority (FINRA), sec lending, securitie lending, Securities Operations, Standards, US Securities and Exchange Commission, wall street

IPC Bolsters Ops Links via Google Cloud Alliance

August 15, 2024 by Eugene Grygo

IPC Bolsters Ops Links via Google Cloud Alliance

(Editor’s note: Communications and cloud connectivity provider IPC has become a Google Cloud Interconnect Partner, a collaboration intended to help IPC customers link to Google Cloud locations globally. The agreement will enable financial institutions that use IPC’s Connexus Cloud for order creation and placement, trade execution, market data delivery, clearing, settlement, and access to trade… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Clearing, Data Management, Ops Automation, Outsourcing, Risk Management, Sell-Side, Settlement, Digital Transformation, FinTech Trends, Integration, Standards, Opinion, Q&As, Industry News Tagged With: automation, back office, Cloud Migration, cloud-based platform, cloud-based trading, CME Group, Gooogle Cloud, Securities Operations, settlement, Standards, wall street

E.U.’s Buy Side Wants T+1 to Happen Sooner

August 15, 2024 by Faye Kilburn

E.U.’s Buy Side Wants T+1 to Happen Sooner

The German buy side is advocating for the earlier adoption of shorter T+1 settlement, amid growing calls for harmonization with the U.K. and Switzerland. The German Investment Funds Association (BVI), which represents 115 fund companies and asset managers with €4 trillion ($4.4 trillion) in assets under management (AUM), is pushing for the European Union to… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Clearing, Corporate Actions, Data Management, FX Operations, Hedge Fund Operations, Industry News, Middle-Office, Operational Risk, Ops Automation, Sell-Side, Settlement, Digital Transformation, FinTech Trends, Back-Office, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: AFME, automation, back office, Buy-side, Central Securities Depositories Regulation (CSDR), ESMA, operational risk, operations, Securities Operations, settlement, Standards, T+1, T+1 settlement, T+1 transition, wall street

Johnson Associates Projects Bonuses Up for Most Sectors

August 13, 2024 by Eugene Grygo

Johnson Associates Projects Bonuses Up for Most Sectors

Recent market swings, jitters, and recession fears aside, bonuses may wind up higher for most Wall Street sectors after two years of steady declines, says Johnson Associates, Inc., a strategic compensation solutions provider based in New York City. The company is projecting “year-end incentives to be higher across almost all sectors” in its “Financial Services… Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Industry News, Sell-Side, Salaries & Bonuses, General Interest, People Moves Tagged With: automation, back office, Bonuses, governance, hiring, Securities Operations, Standards, wall street

Rathbones Group Deploys Xplan from Iress

August 12, 2024 by FTF News

Rathbones Group Deploys Xplan from Iress

The London-based Rathbones Group is live on the Xplan advice software from financial technology provider Iress to support Rathbones’ financial planning business, officials say. Financial services firm Rathbones provides individual wealth management, asset management and related services to private clients, charities, trustees and professional partners, officials say. “Xplan will also be the financial planning platform… Read More >>

Filed Under: Securities Operations, Back Office, Corporate Actions, Data Management, Industry News, Mergers & Acquisitions, Digital Transformation, Back-Office, Industry News Tagged With: automation, back office, data management, financial planning, regulation, Securities Operations, Standards

ACA Group Acquires Encore Compliance

August 8, 2024 by FTF News

ACA Group Acquires Encore Compliance

ACA Group (ACA), a provider of governance, risk, and compliance (GRC) solutions to the financial services industry, has acquired Encore Compliance (Encore), an A.I. compliance software solutions vendor, officials say. “This acquisition enhances ACA’s Managed Services suite of people, processes, and technology, adding A.I.-enabled surveillance for expert network chaperoning and research calls to help asset… Read More >>

Filed Under: Derivatives Processing, Securities Operations, Back Office, Buy-Side, Data Management, Operational Risk, FinTech Trends, Regulation & Compliance, Regulatory Enforcement, Cybersecurity, Regulatory Compliance, Regulatory Reporting Tagged With: automation, governance, GRC, rick and compliance, Securities Operations, Standards, wall street

SEC Kicks Off a T+1 Compliance Sweep

August 6, 2024 by Faye Kilburn

SEC Kicks Off a T+1 Compliance Sweep

The U.S. Securities and Exchange Commission (SEC) has begun detailed examinations of industry participants to ensure compliance with its new T+1 trade settlement and recordkeeping requirements. Both investment advisors and broker-dealers are being audited to provide information on their policies, procedures, and records related to trade allocation, confirmation, and affirmation processes to the SEC’s Division… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Clearing, Corporate Actions, Data Management, Middle-Office, Operational Risk, Ops Automation, Sell-Side, Settlement, T+1 Settlement, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, SEC, Securities Operations, settlement, Standards, T+! transition, T+1, T+1 settlement, wall street

Cantor Fitzgerald Dives Into Bitcoin Financing

August 6, 2024 by FTF News

Cantor Fitzgerald Dives Into Bitcoin Financing

Inter-dealer broker Cantor Fitzgerald has plans to launch a Bitcoin financing business in an effort to help investors leverage their Bitcoin. “The firm will launch with $2 billion in initial financing and will continue to substantially grow the operation,” according to the initial announcement. “To launch the effort, Cantor Fitzgerald will partner with select Bitcoin… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Operations, Securities Operations, Back Office, Buy-Side, Digital Transformation, FinTech Trends, Blockchain/DLT Tagged With: automation, back office, bitcoin, blockchain, Cantor Fitzgerald, crypto-currency Bitcoin, digital asset custody, wall street

FINRA Explores Remote Inspections via Pilot Program

August 6, 2024 by Eugene Grygo

FINRA Explores Remote Inspections via Pilot Program

Nearly one-quarter or 22 percent of FINRA member firms have volunteered to participate in a pilot program that would allow them to complete their inspection obligations “without an on-site visit” from a FINRA official, according to the self-regulatory organization (SRO) for U.S. broker-dealers. FINRA notes that 741 firms are participating in the initial pilot, and… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Data Management, Industry News, Digital Transformation, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Economic Sanctions, Industry News Tagged With: automation, back office, Buy-side, compliance, data management, Financial Industry Regulatory Authority (FINRA), inspections, Securities Operations, Standards, wall street

Gresham CEO Provides an Update on the Merger

August 1, 2024 by Eugene Grygo

Gresham CEO Provides an Update on the Merger

(Gresham Technologies has merged with Alveo, a market data integration and analytics solutions provider, via a transaction led by Alveo’s majority owner private equity firm STG Partners. Before the merger, STG Partners and Alliance Bidco took Gresham Technologies plc private in April via a transaction that valued Gresham at approximately £146.7 million ($190.7 million). The… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Mergers & Acquisitions, Operational Risk, Ops Automation, Reconciliation & Exceptions, Sell-Side, Settlement, T+1 Settlement, Integration, Standards, Opinion, Q&As Tagged With: Alveo, automation, back office, cloud computing, data agggregation, data management, Gresham, Gresham Technologies, Securities Operations, wall street

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