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Are We Heading Toward the Age of DLT?

July 27, 2022 by Eugene Grygo

Are We Heading Toward the Age of DLT?

I think it’s fair to say that distributed ledger technology (DLT), a.k.a. the blockchain, is making real inroads into the complex universe of post-trade securities operations. I am referring to the infrastructure-building/plumbing aspects of DLT, which emerged before its role in the wild embrace of crypto- and digital asset transactions, tokenization, etc. The DLT-based systems… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, Opinion, Minding the Gap, KYC, Industry News Tagged With: automation, back office, banks, blockchain, Central Securities Depositories Regulation (CSDR), custodian, data management, distributed ledger technology (DLT), Federal Reserve, ISSA, operational risk, Securities Operations, settlement, technology vendors, wall street

Global Uncertainty Boosts Profits for U.S. Banks

October 26, 2016 by Lynn Strongin Dodds

U.S. banks enjoyed a bumper crop of results during the third quarter thanks to volatile conditions in fixed income trading. While some attribute the healthy performance to the so-called Brexit bounce, others point to a wider range of factors behind the better-than-predicted numbers. Analysts had forecast a downbeat earnings season for the U.S. banking sector,… Read More >>

Filed Under: General Interest, Industry News Tagged With: 2016 presidential race, banks, Brexit, Celent, fixed income commodities and currencies (FICC), U.S. Federal Reserve

Can Banks Really Create a Culture of Compliance?

December 4, 2015 by Pauline McCallion

The Financial Conduct Authority’s (FCA) recent decision to fine Barclays a record £72 million ($108.3 million) for the alleged poor handling of financial crime risks will likely serve to reinforce the public perception of greedy bankers. But have financial institutions made any progress in developing a more positive culture in the new regulatory era of… Read More >>

Filed Under: Operational Risk, Governance, AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: banks, Barclays, Carter and Associates, compliance, Dodd-Frank, due diligence, Financial Crime, financial regulation, Financial Services Authority, fines, FSA, MiFID II, Moore, Paul Moore, regulatory risk, risk management

FSB’s Capital Requirements Target ‘Too Big to Fail’

November 10, 2015 by Eugene Grygo

The Financial Stability Board (FSB), the six-year-old international body created in response to the Great Recession, has issued requirements intended to keep “systemically important” banks solvent particularly during crisis in an effort to prevent firms that are “too big to fail” and have to be bailed out via government funds. The financial requirements for banks… Read More >>

Filed Under: Operational Risk, Governance, Regulation & Compliance Tagged With: banks, Basel III, BIS, Bqank for International Settlements, capital requirement, Financial Stability Board, FSB, G-SIBs, operational risk, regulation, Too big to fail, total loss-absorbing capacity (TLAC)

Tighter Budgets Make Trading Ops Utility Model More Attractive

September 22, 2015 by Eugene Grygo

Cost-cutting and the crush of regulatory compliance are making a utility model for processing and sharing the costs of trade operations, including core post-trade systems, more likely, according to a new study from by Broadridge Financial Solutions. The utility model, which would incorporate reference data, reconciliations, trade expense management, corporate actions, and tax and regulatory… Read More >>

Filed Under: Securities Operations, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Reconciliation & Exceptions, Risk Management, Settlement, General Interest, FinTech Trends, Back-Office, Regulation & Compliance, Industry News Tagged With: banks, Broadridge Financial Solutions, clearance, corporate actions, cost cutting, operational risk, Post-Trade Processing, Reconciliations, reference data, regulatory reporting, settlement, trade operations, Utility

Firms Ready but Wary as Volcker Rule Becomes Reality

July 16, 2015 by Ryan Boysen

When the Volcker Rule provision of Dodd Frank finally goes into effect on Tuesday, July 21, the banks affected will have already done most of the heavy lifting, industry observers say. But banks will still face an arduous few months as they struggle to pin down the practice of a law they’ve spent so long… Read More >>

Filed Under: Derivatives Operations, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: banks, CFTC, compliance, Dodd-Frank, hedging, KYC, proprietary trading, regulation, SEC, Volcker Rule

Cyber-Attacks Force Firms to Prepare for the Worst

November 21, 2014 by Ryan Boysen

The number of detected cyber-security incidents across the financial sector rose 8 percent from 2013 to 20414, and the total cost of those incidents has jumped by 24 percent according to a new report by PriceWaterhouseCoopers (PwC). But, over that time, total spending by Information Security (InfoSec) departments at larger financial services firms is up… Read More >>

Filed Under: Cybersecurity Tagged With: banks, cyber, Cybersecurity, information security, IT, OpRisk, PricewaterhouseCoopers

Survey: Firms Keeping Bilateral OTC Trading

September 2, 2014 by Eugene Grygo

Despite the regulatory push for cleared and executed over-the-counter (OTC) derivatives, the bilateral OTC market shows no signs of disappearing, according to a survey done by InteDelta, a specialist risk management consultancy. From April to June 2014, InteDelta completed a global survey of derivatives market participants to assess the impacts of regulatory reforms upon the… Read More >>

Filed Under: Derivatives Operations Tagged With: banks, derivatives, InteDelta, over the counter, risk management

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