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Charles River IMS Links to LTX And Other Briefs

March 16, 2022 by FTF News

Charles River IMS Links to LTX And Other Briefs

Charles River IMS Uses LTX to Bolster Bond Trading   LTX, an A.I.-enabled corporate bond trading platform from Broadridge Financial Solutions, has been integrated with an established offering — the Investment Management Solution (IMS) from Charles River — in order to offer end-users  better liquidity aggregation and improved workflows, trade transparency, and price discovery, officials… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Ops Automation, Outsourcing, Risk Management, General Interest, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, KYC, Industry News, People Moves Tagged With: automation, back office, bonds, Broadridge Financial Solutions, Charles River, compliance, CQG, data management, front office, LTX, Securities Operations, trading

Wolters Kluwer & Broadridge Take On Taxes & Other News

February 11, 2022 by FTF News

Wolters Kluwer & Broadridge Take On Taxes & Other News

Extended Partnership Focuses on Cost-Basis & Tax Reporting Wolters Kluwer Compliance Solutions and Broadridge Financial Solutions, Inc. report that they have “enhanced their longstanding relationship by entering into a strategic alliance to provide an industry-leading solution for cost basis and tax reporting processing needs.” The strategic alliance allows the firms to “seamlessly share necessary tax… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Mergers & Acquisitions, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Diversity, Equity, and Inclusion (DEI), Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, KYC, Regulation & Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, back office, Bloomberg, Bloomberg AIM, Broadridge Financial Solutions, compliance, data management, HSBC, middle office, Samsung Securities, Securities Operations, Wolters Kluwer Financial Services

Ops Comes Second for Digital Overhauls: Survey

January 28, 2022 by Eugene Grygo

Ops Comes Second for Digital Overhauls: Survey

When it comes to deciding which division within a financial services firm should get priority for a digital overhaul, the operations and the sales and marketing groups come second to teams overseeing customer experiences, according to a new survey about next generational technology conducted by Broadridge Financial Solutions. The report, “Fast-tracking digital transformation through next-gen… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Regulation & Compliance, Industry News Tagged With: artificial intelligence (AI), automation, back office, Broadridge Financial Solutions, cloud computing, compliance, data management, distributed ledger technology (DLT), manual processes, operational risk, operations, Securities Operations

Broadridge & DTCC Target Voluntary Corporate Actions

January 21, 2022 by Eugene Grygo

Broadridge & DTCC Target Voluntary Corporate Actions

Broadridge Financial Solutions is laying the groundwork for an automated path for voluntary corporate actions in standardized ISO 20022 format via a connection to the Depository Trust & Clearing Corp.’s new automated process for submitting instructions, officials say. The securities industry has been wrestling with the inefficient manual aspects of corporate actions processing for many… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Digital Transformation, FinTech Trends, Standards, KYC, Industry News Tagged With: automation, back office, Broadridge Financial Solutions, compliance, corporate actions, data management, DTCC, operational risk, operations, Securities Operations

Millennial Wave Coming for Financial Advisors: Survey

September 7, 2021 by Eugene Grygo

Millennial Wave Coming for Financial Advisors: Survey

Apparently, there’s at least one thing that the Millennial generation likes that their Boomer parents also like — enlisting financial advisors. This might be good news for securities trading firms worried that the wealth of young America was heading down a cryptocurrency rabbit hole. This was uncovered via a new study sponsored by post-trade systems… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, Operational Risk, Diversity & Human Interest, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Digital Transformation, FinTech Trends, Opinion, Minding the Gap, ESG Data & Investing, KYC, Industry News Tagged With: asset management, automation, Broadridge Financial Solutions, cryptocurrencies, data management, Millennials, wall street, wealth management

UBS Joins Broadridge’s Platform for Repo Transactions

August 13, 2021 by Eugene Grygo

UBS Joins Broadridge’s Platform for Repo Transactions

Broadridge Financial Solutions has gotten the endorsement of Swiss banking giant UBS for a distributed ledger repo (DLR) platform that promises participants greater liquidity, less risk, and reduced operation costs, officials say. Vendor officials say that the DLR system provides a single platform for market participants to agree, execute and settle repo transactions. “Under a… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, KYC, Industry News Tagged With: automation, Broadridge Financial Solutions, compliance, distributed ledger technology (DLT), regulatory reporting, repo transactions, Securities Operations

NYFIX to Expand Post-Trade Services via Acquisition

August 4, 2021 by FTF News

NYFIX to Expand Post-Trade Services via Acquisition

Broadridge Buys Itiviti Partner Alpha Omega Broadridge Financial Solutions has acquired Alpha Omega, a post-trade solutions provider that uses the FIX electronic trading protocol, a move that will expand NYFIX’s post-trade services, officials say. Alpha Omega is a longtime partner of Itiviti, which itself is the result of the 2016 combination of NYFIX and Ullink. Broadridge… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Mergers & Acquisitions, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, KYC, Cybersecurity, Industry News, People Moves Tagged With: automation, back office, Broadridge Financial Solutions, Buy-side, data management, fintech innovation, HSBC Asset Management, Itiviti, NYFIX, NYFIX Matching, operations, SWIFT, Ullink

Crypto Undermines SEC’s Mission: Sen. Elizabeth Warren

July 13, 2021 by FTF News

Crypto Undermines SEC’s Mission: Sen. Elizabeth Warren

Sen. Warren Urges SEC to Consider Crypto Regs  Wall Street critic U.S. Senator Elizabeth Warren (D-Mass.) is asking Gary Gensler, the chair of the SEC, via a recent letter, to investigate the ways that cryptocurrency exchanges “may be undermining the SEC’s mission” as a regulator of securities trading markets. The letter from Warren, who is… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Data Management, Industry News, Mergers & Acquisitions, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Governance, Diversity, Equity, and Inclusion (DEI), Digital Transformation, Back-Office, Blockchain/DLT, Integration, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, back office, bitcoin, blockchain, Broadridge Financial Solutions, CBOE Holdings Inc., clearing, collateral management, cryptocurrency, data management, Gary Gensler, SEC, Securities Operations, Senator Elizabeth Warren, settlement

Broadridge Buys J&J Unit to Bolster RegTech Services

July 9, 2021 by Eugene Grygo

Broadridge Buys J&J Unit to Bolster RegTech Services

Broadridge Financial Solutions is bolstering its regulatory compliance services for broker-dealers via an acquisition of the cloud-based Execution Compliance and Surveillance Service (ECS) assets of Wall Street consultancy Jordan & Jordan (J&J), officials say. J&J officials describe their ECS offering as a managed service that includes “comprehensive reviews to assess compliance with various aspects of… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Ops Automation, Outsourcing Tagged With: automation, back office, Broadridge Financial Solutions, CFTC, compliance, data management, Dodd-Frank, FINRA, Jordan & Jordan, operations, regulatory reporting, SEC, Securities Operations

JPMorgan Asset Management Buys Campbell Global

June 23, 2021 by FTF News

JPMorgan Asset Management Buys Campbell Global

JPMorgan Asset Management Boosts ESG Offerings JPMorgan Asset Management has acquired Campbell Global, described as “a forest management and timberland investing company,” as a way of facilitating transitions to a low-carbon economy and opportunities for those investors that want to support environmental, social, and governance (ESG) concerns, officials say. JPMorgan officials declined to disclose the… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Risk Management, Diversity & Human Interest, Governance, Digital Transformation, FinTech Trends, Back-Office, Standards, ESG Data & Investing, Regulatory Reporting Tagged With: Broadridge Financial Solutions, compliance, environmental, environmental, social and governance (ESG), financial analytics, Itiviti Group Holding, JP Morgan Asset Management, operations, risk analytics, Securities Operations

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