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JPMS, UBS & TradeStation Resolve Identity Theft Program Woes

August 5, 2022 by Eugene Grygo

JPMS, UBS & TradeStation Resolve Identity Theft Program Woes

JPMorgan Securities (JPMS), UBS Financial Services, and TradeStation Securities have settled charges made by the Securities and Exchange Commission (SEC) that they failed to keep pace with the ever-changing and growing threat of identity theft. The SEC is alleging that the trio had deficient efforts to prevent customer identity theft and thus violated the “Identity… Read More >>

Filed Under: Securities Operations, Data Management, General Ops, Performance Measurement, FinTech Ops, Artificial Intelligence, Back-Office, Integration, Middle-Office, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Cybersecurity, KYC, Operational Risk, Regulatory Reporting, Industry News Tagged With: identity theft, automation, back office, SEC, Standards, wall street, operational risk, Financial Crime

SocGen Joins Broadridge’s Repo Platform & Other News

July 15, 2022 by FTF News

SocGen Joins Broadridge’s Repo Platform & Other News

Société Générale Supports Repos via DLT     French banking giant Société Générale reports that it is now “live on the distributed ledger technology repo platform” created by vendor Broadridge Financial Solutions. The platform “accelerates the digitization of the global repo market, empowering participants to realize immediate benefits of reduced risk and operational costs and enhanced… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Blockchain/DLT, Buy-Side, Data Management, General Ops, Derivatives Operations, Clearing, Collateral Management, Derivatives Processing, Regulation, FinTech Ops, Artificial Intelligence, Back-Office, Middle-Office, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Governance, KYC, Operational Risk, Regulatory Reporting, Industry News, People Moves, General Interest Tagged With: automation, back office, data management, compliance, operations, blockchain, operational risk, Financial Crime, fintech innovation, fines, Securities Operations

Allianz Unit Pays Billions in Fines via Fraud Case

May 23, 2022 by Eugene Grygo

Allianz Unit Pays Billions in Fines via Fraud Case

Allianz Global Investors U.S. LLC (AGI US) has admitted its guilt in what the SEC is calling “a massive fraudulent scheme” that hid the major risks of a complicated options trading strategy that the firm called “Structured Alpha.” The alleged scheme did not save the Structured Alpha funds, which collapsed and caused investors to lose… Read More >>

Filed Under: Securities Operations, Data Management, Derivatives Operations, Regulation, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Regulatory Reporting, Industry News Tagged With: SEC, Dodd-Frank, data management, compliance, regulation, wall street, regulatory reporting, Financial Crime, U.S. Department of Justice

Xignite Launches an ESG API & Other News

April 13, 2022 by FTF News

Xignite Launches an ESG API & Other News

Xignite Partners with ESG Book A vendor of market data application programming interfaces (APIs), Xignite has launched an API for Environmental, Social and Governance (ESG) data that accesses the real-time sustainability dataset of ESG Book, a data vendor partnering with Xignite. The XigniteGlobalESG API encompasses “public companies domiciled in North America, EMEA, APAC, and Latin… Read More >>

Filed Under: Diversity, ESG, Digital Transformation, Securities Operations, Automation, Blockchain/DLT, Buy-Side, Data Management, Settlement and T+2, Derivatives Operations, Regulation, Regulation & Compliance, AML/Fraud/Financial Crime, Cybersecurity, Governance, KYC, Operational Risk, Regulatory Reporting, Industry News, People Moves, Human Interest Tagged With: environmental, environmental, social and governance (ESG), automation, back office, wealth management, blockchain, Buy-side, Financial Crime, Securities Operations, cryptocurrencies, crypto-technology

FTF Unveils Nominees for the 2022 FTF Awards!

March 14, 2022 by FTF News

FTF Unveils Nominees for the 2022 FTF Awards!

Financial Technologies Forum (FTF) and FTF News are pleased to announce the nominees for the 2022 FTF News Technology Innovation Awards competition. The variety and high volume of nominations are clear signs that fintech achievement is alive and kicking amid the challenges of a global pandemic, volatile markets, and a steady flow of game-changers such… Read More >>

Filed Under: Fun, Diversity, Digital Transformation, ESG, Private Markets, FTF Exchange Podcast, Securities Operations, Automation, Blockchain/DLT, Buy-Side, Corporate Actions, Data Management, General Ops, Outsourcing, Performance Measurement, Reconciliations, Settlement and T+2, Derivatives Operations, Clearing, Collateral Management, Derivatives Processing, Regulation, FinTech Ops, Artificial Intelligence, Back-Office, Case Studies, Integration, Middle-Office, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Cybersecurity, Derivatives, Governance, KYC, Operational Risk, Regulatory Reporting, Sanctions, Social Media, Industry News, General Interest, FTF Awards, Opinion, Human Interest Tagged With: automation, derivatives, corporate actions, back office, data management, performance measurement, compliance, reconciliation, risk management, settlement, cloud computing, clearing, blockchain, Buy-side, wall street, regulatory reporting, collateral management, operational risk, Financial Crime, Securities Operations

Coinbase Hires Goldman Sachs Ops Vet & Other News

March 2, 2022 by FTF News

Coinbase Hires Goldman Sachs Ops Vet & Other News

Roger Bartlett Joins Coinbase Cryptocurrency exchange platform operator Coinbase Global, Inc. has hired a Goldman Sachs securities operations veteran Roger Bartlett to be its next vice president, global head of financial operations, according to media reports and Bartlett’s LinkedIn page. Coinbase has also made clear that it wants to expand its employee roster by 2,000… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Blockchain/DLT, Buy-Side, Corporate Actions, Data Management, General Ops, Outsourcing, Reconciliations, Settlement and T+2, Derivatives Operations, Clearing, Collateral Management, FinTech Ops, Back-Office, Integration, Middle-Office, Risk Management, Standards, Governance, KYC, Operational Risk, Industry News, People Moves, General Interest, Human Interest Tagged With: Coinbase, automation, back office, data management, compliance, operations, Goldman Sachs, wall street, governance, Financial Crime, Securities Operations, cryptocurrencies

Congress Mulls Banning Itself from Trading Stocks

February 15, 2022 by Louis Chunovic

Congress Mulls Banning Itself from Trading Stocks

Remember that time in 2020, when the pandemic was just beginning and its dangers were not yet widely appreciated? That was when a group of United States Senators received closed-door briefings on the imminent crisis presented by COVID-19. What did these senators do right after their secret briefings? Alert the mostly unsuspecting public? Nope. They… Read More >>

Filed Under: Securities Operations, Corporate Actions, Regulation, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Governance, KYC, Operational Risk, Regulatory Reporting, Industry News, Human Interest Tagged With: SEC, compliance, insider trading, regulatory reporting, Financial Crime, Congress, U.S. Department of Justice, fines

FinCEN Proposes SAR Sharing to Foreign Affiliates

February 1, 2022 by Louis Chunovic

FinCEN Proposes SAR Sharing to Foreign Affiliates

The Financial Crimes Enforcement Network (FinCEN) has issued a Notice of Proposed Rulemaking that urges the establishment of a limited-duration pilot program for sharing suspicious activity reports (SARs), in accordance with Section 6212 of the Anti-Money Laundering Act of 2020. The FinCEN notice also solicits public comment about the program. Under the pilot program, a… Read More >>

Filed Under: Securities Operations, Middle-Office, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Derivatives, Governance, KYC, Operational Risk, Regulatory Reporting, Sanctions, Industry News, General Interest, Human Interest Tagged With: Suspicious Activity Reports, FinCEN, back office, compliance, governance, regulatory reporting, Financial Crime, fines, Treasury Department

Gensler Mulls New Cybersecurity Rules via Expanded SCI

January 28, 2022 by Eugene Grygo

Gensler Mulls New Cybersecurity Rules via Expanded SCI

SEC Chair Gary Gensler wants to breathe new life into the fight against cyberattacks and is calling for a refresh of Regulation Systems Compliance and Integrity (Reg SCI) that might mean new cybersecurity hygiene and incident reporting rules for investment companies, investment advisers, and broker-dealers. During his speech for the Northwestern Pritzker School of Law’s… Read More >>

Filed Under: Securities Operations, Automation, Regulation, FinTech Ops, Back-Office, Regulation & Compliance, AML/Fraud/Financial Crime, Operational Risk, Regulatory Reporting, Industry News Tagged With: automation, back office, SEC, Dodd-Frank, data management, cloud computing, wall street, cybercrime, Cybersecurity, regulatory reporting, Gary Gensler, operational risk, Financial Crime

Crypto Crime Hits $14B in 2021: Report

January 19, 2022 by Louis Chunovic

Crypto Crime Hits $14B in 2021: Report

Crypto investors beware. The good news: Crypto-crime is “becoming a smaller and smaller part of the cryptocurrency ecosystem.” That’s according to a blog post “preview” of the 2022 “Crypto Crime Report” from Chainalysis, a cloud-based, blockchain data and analysis platform provider founded in 2014 and headquartered in New York City. The not-so-good news: Crypto crime… Read More >>

Filed Under: Digital Transformation, Private Markets, Securities Operations, Automation, Blockchain/DLT, Buy-Side, Data Management, FinTech Ops, Back-Office, Risk Management, Standards, Governance, KYC, Operational Risk, Industry News Tagged With: crypto-assets, crypto crime, automation, back office, SEC, CFTC, data management, blockchain, operational risk, Financial Crime, fines, Securities Operations, cryptocurrencies

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