FTF News

  • Sign-Up for FTF Email Alerts
  • Login
FTF NEWS
Subscribe Now
  • Home
  • News
  • Events
  • Awards
  • Research
  • FTF SERVICES
  • Podcast
  • Bull Run Blog

SBI Securities Expands Agreement with Broadridge

April 25, 2024 by FTF News

SBI Securities Expands Agreement with Broadridge

A major Japanese firm, SBI Securities Co., Ltd. will be using post-trade services from Broadridge Financial Solutions when it launches its equities brokerage services to clients in the U.K., through its subsidiary SBI Shinsei International Ltd., officials say. This arrangement will be an expansion of Broadridge’s existing relationship with SBI Securities “to process Japanese equities… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Data Management, Middle-Office, Operational Risk, Ops Automation, Back-Office, Integration, Standards Tagged With: automation, back office, Broadridge Financial Services, brokerage services, Japan, Securities Operations

FinTech Brief: Northern Trust to Support Costco’s DC Plan

December 6, 2023 by FTF News

FinTech Brief: Northern Trust to Support Costco’s DC Plan

Costco Wholesale Corp. has selected custodian bank Northern Trust to provide custody, daily valuation, and brokerage services for Costco’s defined contribution (DC) retirement plan, with $29 billion in assets, officials say. Costco, based in Seattle, is known as the world’s third-largest retailer and operates 861 warehouses, including 591 in the United States and Puerto Rico…. Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Hedge Fund Operations, Industry News, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Portfolio Management, Regulation & Compliance Tagged With: automation, back office, brokerage services, compliance, Costco, data management, defined contribution, Nothern Trust, Securities Operations

BB&T Securities Settles SEC Charges of Misleading Clients

March 12, 2019 by Eugene Grygo

BB&T Securities Settles SEC Charges of Misleading Clients

BB&T Securities and the SEC have settled charges that a firm acquired by BB&T’s parent company allegedly misinformed advisory clients that they were getting discounted full-service brokerage services internally “while significantly less expensive options were available externally,” according to the SEC. Ultimately, the agreement requires BB&T Securities to return “more than $5 million to retail… Read More >>

Filed Under: Securities Operations, Buy-Side, Case Studies, Corporate Actions, Industry News, Middle-Office, Operational Risk, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: asset management, BB&T Securities, brokerage services, investment advisory, retirement planning, SEC, settlement, Valley Forge Asset Management

  • Home
  • FTF SERVICES
  • News
  • FTF Bull Run Blog
  • Contact
  • Events
  • Privacy
  • About
  • FTF Research Institute
  • Awards
  • Terms
  • Buyer’s Guide
  • Reprints

Follow Us

Copyright © FTF News 2019 Financial Technologies Forum LLC

Join FTF
Premier Today!

Already a Member? Click here to Login

Unlimited FTFNews.com article access
FTF Special Reports
Digital issues of FTF Focus Magazine
Video Interviews
Podcasts
Weekly News Alerts
Discount on FTF Conferences and Events
Discount on FTF Training Seminars
Print Issues of FTF Focus Magazine
Annual delivery of printed FTF Buyer's Guide
Online Trial
Try FTF Premier
Online
$1
For 4 Weeks
 
 
 
 
FTF Premier FULL
FTFNEWS.COM
MEMBERSHIP
$10$120
PER MONTHPER YEAR
FTF ON DEMAND
TRY FTF PREMIER ONE
ARTICLE AT A TIME
$1.99
AND UP
$1.99 PER ARTICLE
$9.99 PER REPORT
$9.99 PER ISSUE
 
 
 
 
 
 
 

Join FTF
Premier Today!

Already a Member? Click here to Login

Unlimited FTFNews.com article access
FTF Special Reports
Digital issues of FTF Focus Magazine
Video Interviews
Podcasts
Weekly News Alerts
Discount on FTF Conferences and Events
Discount on FTF Training Seminars
Print Issues of FTF Focus Magazine
Annual delivery of printed FTF Buyer's Guide
Online Trial
Try FTF Premier
Online
$1
For 4 Weeks
 
 
 
 
FTF Premier FULL
FTFNEWS.COM
MEMBERSHIP
$10$120
PER MONTHPER YEAR
FTF ON DEMAND
TRY FTF PREMIER ONE
ARTICLE AT A TIME
$1.99
AND UP
$1.99 PER ARTICLE
$9.99 PER REPORT
$9.99 PER ISSUE
 
 
 
 
 
 
 
  • Home
  • News
  • Events
  • Awards
  • FTF Research Institute
  • FTF SERVICES
  • Bull Run Blog
  • Email Alerts
  • Log In
  • My Account
  • Log Out