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SEC Advances Climate Risk Disclosure Rules

March 30, 2022 by Eugene Grygo

SEC Advances Climate Risk Disclosure Rules

As many expected it would, the Securities and Exchange Commission (SEC) is pushing for new rules that will require public companies to report more details about the climate-related risks that could “have a material impact on their business, results of operations, or financial condition.” But not everyone is on board with this move, including a… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Securities Operations, Data Management, Industry News, Operational Risk, Diversity & Human Interest, Governance, FinTech Trends, Standards, Opinion, Minding the Gap, ESG Data & Investing, Performance Measurement, KYC, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: climate change, climate risk, compliance, environmental, environmental, social and governance (ESG), Gary Gensler, Hester M. Peirce, investors, SEC, Securities Operations

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

Wall Street’s New Cop Jolts Enforcement

November 30, 2021 by Louis Chunovic

Wall Street’s New Cop Jolts Enforcement

The Securities and Exchange Commission (SEC) reports that it filed 434 new enforcement actions in fiscal year 2021. The SEC’s whistleblower program was “critical to these efforts and had a record-breaking year,” a commission statement notes. FY 2021 “marked the highest number of awards to both the number of individuals and in dollar amounts awarded,”… Read More >>

Filed Under: Securities Operations, Industry News, Operational Risk, Whistleblower News, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Reporting, Economic Sanctions, Industry News Tagged With: automation, back office, compliance, Dodd-Frank, Gary Gensler, operational risk, SEC, Securities Operations, SPAC, wall street

Justice Department, SEC Focus on Stopping Crypto Crime

October 8, 2021 by Eugene Grygo

Justice Department, SEC Focus on Stopping Crypto Crime

Two powerful extensions of the U.S. federal government – the Department of Justice and the SEC – are gearing up to counter the fraud, scams, and abuse that are the dark side of cryptocurrencies and emerging digital assets. Lisa O. Monaco, deputy Attorney General for Justice, launched the National Cryptocurrency Enforcement Team (NCET) this week… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Operational Risk, General Interest, Governance, FinTech Trends, Blockchain/DLT, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Reporting, Industry News Tagged With: #BeCyberSmart, automation, bitcoin, blockchain, CFTC, compliance, cryptocurrencies, data management, Digital Assets, Financial Crime, Gary Gensler, SEC, Securities Operations, U.S. Department of Justice

Gensler Wants Proof That Firms Are Going Green

September 9, 2021 by Louis Chunovic

Gensler Wants Proof That Firms Are Going Green

In the future, funds with a green sales pitch will need to prove that they understand and appreciate the importance of an ESG agenda. In other words, that it’s more than just a good story to con a customer to sign on the bottom line. “ESG” stands for environmental, social, and corporate governance, and it… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Data Management, Industry News, Ops Automation, Diversity & Human Interest, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Digital Transformation, Standards, ESG Data & Investing, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: climate change, compliance, cryptocurrency, Cybersecurity, environmental, environmental, social and governance (ESG), ESG Reporting, Gary Gensler, regulation, SEC

SIFMA, ICI, DTCC Seek SEC’s Help with T+1

August 20, 2021 by Eugene Grygo

SIFMA, ICI, DTCC Seek SEC’s Help with T+1

The major backers of the move to shorten the U.S. securities industry settlement cycle from T+2 to T+1 by 2023 are moving full speed ahead as they reach out via a letter to the SEC about potential regulatory changes. Officials from the Securities Industry and Financial Markets Association (SIFMA), the Investment Company Institute (ICI), and… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Operational Risk, Ops Automation, Reconciliation & Exceptions, Settlement, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, Buy-side, compliance, data management, Dodd-Frank, DTCC, Gary Gensler, ICI, operational risk, SEC, Securities Operations, settlement, Sifma, Standards, T+1 settlement, T+2

Crypto Regs Are on SEC Chair’s Radar

August 5, 2021 by Eugene Grygo

Crypto Regs Are on SEC Chair’s Radar

SEC Chair Gary Gensler says that the regulator must consider ways to protect investors vulnerable to the “Wild West” of cryptocurrencies, the trading and custody for crypto-based instruments, and the tokenization bandwagon. In remarks at the Aspen Security Forum on Aug. 3, Gensler noted that “the crypto asset class has ballooned. As of Monday [Aug…. Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Ops Automation, Governance, Digital Transformation, FinTech Trends, Blockchain/DLT, Integration, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: bitcoin, compliance, cryptocurrencies, data management, Gary Gensler, operations, OTC derivatives, regulation, regulations, regulatory reporting, SEC, Securities Operations, security tokens, tokens

Gary Gensler’s SEC Takes Shape

July 30, 2021 by Eugene Grygo

Gary Gensler’s SEC Takes Shape

As expected, SEC Chair Gary Gensler is taking the regulatory agency in a different direction than the most recent chairman Jay Clayton. Recent actions are pointing to a more activist environment and a new era of rulemaking. For starters, Gensler recently announced his policy team, which will be led by Heather Slavkin Corzo, policy director…. Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Securities Operations, Industry News, Ops Automation, Diversity & Human Interest, Whistleblower News, Governance, FinTech Trends, Standards, Opinion, Minding the Gap, ESG Data & Investing, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: back office, compliance, CRS, Dodd-Frank, FINRA, Gary Gensler, regulations, regulatory reporting, SEC, Securities and Exchange Commission, Securities Operations

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

Gensler Launches PCAOB Shake-up by Ousting Chairman

June 10, 2021 by Eugene Grygo

Gensler Launches PCAOB Shake-up by Ousting Chairman

SEC Chair Gary Gensler startled the U.S. securities industry last week when he ousted William D. Duhnke III from his chairmanship of the Public Company Accounting Oversight Board (PCAOB), and then began a board overhaul. The overhaul may have been in response to concerns raised by former members of the PCAOB’s Investor Advisory Group (IAG)…. Read More >>

Filed Under: Securities Operations, Data Management, Industry News, Risk Management, Governance, Diversity, Equity, and Inclusion (DEI), Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Economic Sanctions, Industry News, People Moves Tagged With: accounting, audit controls, auditing, back office, compliance, Dodd-Frank, Gary Gensler, Gensler, PCAOB, Public Company Accounting Oversight Board (PCAOB), Sarbanes-Oxley, SEC, Securities Operations, SOX

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