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Should the GAO Audit the CFTC?

May 16, 2024 by Eugene Grygo

Should the GAO Audit the CFTC?

Caroline D. Pham, a Commodity Futures Trading Commission (CFTC) commissioner, started the Open Meeting on May 10 with a bang — she wants the U.S. Government Accountability Office (GAO) to investigate the CFTC because she thinks the regulator has expanded its jurisdiction without a proper mandate, and, as a consequence, has strayed far from its… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Whistleblower News, Women in Financial Services, Governance, Artificial Intelligence, Digital Transformation, Standards, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: CFTC, compliance, data management, GAO, governance processes, Minding the Gap, SEC, wall street

DTCC & Accenture’s Governance Model Targets DLT Problems

September 10, 2019 by Eugene Grygo

DTCC & Accenture’s Governance Model Targets DLT Problems

The DTCC and Accenture are hoping to spark a new dialogue about the governance processes required for the “safety and soundness” of blockchain/distributed ledger technology (DLT) networks that support securities operations. Blockchain/DLT started out as the backbone of the Bitcoin crypto-currency but has been spun out as a potential backbone for key securities operations. The… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Compliance, Regulatory Reporting, Economic Sanctions, Industry News Tagged With: Accenture, bitcoin, blockchain, cryptocurrency, DLT, DLT Networks, DTCC, governance processes

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