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T. Rowe Price & Others to Test Public Blockchains

April 19, 2023 by Eugene Grygo

T. Rowe Price & Others to Test Public Blockchains

While the hype surrounding blockchain technology cooled long ago, the hope remains that it will yield trading technology breakthroughs. With that hope in mind, T. Rowe Price Associates, WisdomTree, Wellington Management, and Cumberland are “an initial cohort” of financial services firms participating in a test of public blockchain infrastructure. They will explore the benefits of… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Standards, Industry News Tagged With: automation, back office, blockchain, Eugene Grygo, EVM, Minding the Gap, operations, Securities Operations, Standards

Reporter’s Notebook: Merrill Lynch & the FX Fees Case

April 13, 2023 by Louis Chunovic

Reporter’s Notebook: Merrill Lynch & the FX Fees Case

When crypto companies allegedly scam their clients, it’s often a disaster for the kids and old folks who are convinced to “invest.” But we expect better, much better, from Merrill Lynch, Pierce, Fenner & Smith, a pillar of the financial services world. That’s one reason it’s troubling to learn that the U. S. Securities and… Read More >>

Filed Under: Securities Operations, Operational Risk, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Standards, Opinion, Reporter's Notebook, Minding the Gap, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: compliance, FATCA, Merrill Lynch, Minding the Gap, operational risk, regulatory reporting, SEC, wall street

BlackRock Tops the Broadridge FB50 List

March 29, 2023 by Eugene Grygo

BlackRock Tops the Broadridge FB50 List

Despite volatile markets last year, the current Fund Brand 50 (FB50) rankings of the best-performing, third-party asset management brands revealed that seven of the top 10 asset managers held the same position in 2022 as they did the year before. The annual study is sponsored by Broadridge Financial Solutions, a provider of securities operations systems,… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, Buy-Side, Data Management, Ops Automation, Diversity, Equity, and Inclusion (DEI), Back-Office, Standards, Opinion, Minding the Gap, Performance Measurement, Industry News Tagged With: back office, Blackrock, Broadridge Financial Solutions, Eugene Grygo, Minding the Gap, Securities Operations, Standards, wall street

CFTC Mandates UPIs for Swaps Records & Reporting

March 1, 2023 by Eugene Grygo

CFTC Mandates UPIs for Swaps Records & Reporting

Without much fanfare, the CFTC in mid-February ordered registered entities and swap counterparties to use the unique product identifiers (UPIs) supplied by the Derivatives Service Bureau (DSB) for swaps in the credit, equity, foreign exchange, and interest rate asset classes to bolster transparency and compliance with CFTC swap recordkeeping and reporting requirements. In addition, the… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Clearing, Data Management, Middle-Office, Risk Management, Digital Transformation, Back-Office, Standards, Opinion, Minding the Gap, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, CFTC, collateral management, compliance, data management, derivatives, Eugene Grygo, Minding the Gap, operational risk, regulatory reporting, UPIs, wall street

DTCC Guide Demystifies T+1 Testing

February 1, 2023 by Eugene Grygo

DTCC Guide Demystifies T+1 Testing

In the U.S., there have been many serious discussions and efforts to move the securities industry from the trading day plus two (T+2) settlement cycle to T+1. In addition, the regulators, standards groups, and industry associations are mulling the changes that must be made to facilitate the shift to T+1. But, at some point, the… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, Opinion, Minding the Gap, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Reporting, Industry News Tagged With: automation, back office, compliance, data management, DTCC, Eugene Grygo, Minding the Gap, SEC, Securities Operations, settlement, T+1 settlement

Is a Roku-Designed TV Bonus Worthy?

January 25, 2023 by Eugene Grygo

Is a Roku-Designed TV Bonus Worthy?

As Wall Street navigates bonus season, I have another entry in my ongoing quest to provide information about gadgets, services, and consumer goods worthy of your bonus. This time I am eager to shine the spotlight on Roku, the San Jose, Calif.-based maker of digital media players that have an operating system for streaming digital… Read More >>

Filed Under: FTF Bull Run Blog, Fun & Recreation, Salaries & Bonuses, General Interest, Diversity, Equity, and Inclusion (DEI), Opinion, Minding the Gap, People Moves Tagged With: Bonuses, Eugene Grygo, Minding the Gap

Nominations Are Open for the 2023 FTF Awards!

January 18, 2023 by Eugene Grygo

Nominations Are Open for the 2023 FTF Awards!

We are thrilled to launch the nomination process for the 2023 FTF News Technology Innovation Awards — an industry-wide competition now in its 13th year — presented by Financial Technologies Forum (FTF) and the FTF News service. In addition to our classic securities operations and related categories, we have four new categories that reflect industry… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Private Markets, Reconciliation & Exceptions, Risk Management, Settlement, Diversity & Human Interest, Fun & Recreation, Governance, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Opinion, Minding the Gap, ESG Data & Investing, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Compliance, Regulatory Reporting, Economic Sanctions, Social Media, FTF Awards Tagged With: automation, back office, blockchain, Buy-side, clearing, collateral management, data management, FTF, FTF Award Winners, FTF News, FTF News Awards, Minding the Gap, reconciliation, regulatory reporting, risk management, Securities Operations, settlement

Can SWIFT Make Post-Trade Ops More Transparent?

September 29, 2022 by Eugene Grygo

Can SWIFT Make Post-Trade Ops More Transparent?

SWIFT is strongly urging that the industry adopt Unique Transaction Identifiers (UTIs) as a way to bring more transparency to post-trade processing. The new UTI support would come via the SWIFT Securities View capability, which has had a successful pilot test, dubbed the “SWIFT Securities Tracking Pilot,” according to officials of the financial messaging, systems,… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Data Management, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Digital Transformation, FinTech Trends, Back-Office, Standards, Opinion, Minding the Gap, KYC, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, compliance, data management, Eugene Grygo, Minding the Gap, operational risk, operations, settlement, SWIFT, SWIFT SIBOS, wall street

9/11 Recovery Volunteers Urged to Meet Registration Deadline

September 8, 2022 by Eugene Grygo

9/11 Recovery Volunteers Urged to Meet Registration Deadline

Twenty-one years after 9/11, more than memories of lost loved ones, family, and friends linger. Physical and mental health concerns for those who were directly impacted as they were volunteering to help with rescue efforts may become grim realities, especially after two decades. Medical and financial resources have become available for those who were directly… Read More >>

Filed Under: FTF Bull Run Blog, Securities Operations, General Interest, Diversity, Equity, and Inclusion (DEI), Opinion, Minding the Gap Tagged With: 9/11, Eugene Grygo, Minding the Gap, wall street

UMR May End DerivOps As We Know It

September 1, 2022 by Eugene Grygo

UMR May End DerivOps As We Know It

If your firm has not yet met the September 1 deadline for Phase 6 of the ongoing saga of the Uncleared Margin Rules (UMR), you are probably not reading this blog posting. You will be up to your ears in a gargantuan effort to meet the deadline or to find a legal way to sidestep… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Digital Transformation, FinTech Trends, Standards, Opinion, Minding the Gap, KYC, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, collateral management, compliance, data management, Dodd-Frank, Eugene Grygo, initial margin, MiFID II, Minding the Gap, OTC derivatives, wall street

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