FTF News

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

Regulators Extend Comment Deadline for New Volcker Rule

September 10, 2018 by FTF News

Regulators Extend Comment Deadline for New Volcker Rule

Five Regulators Move Volcker Rule Deadline to Oct. 17 Securities industry participants will get more time to weigh in on the very controversial Dodd-Frank Era “Volcker Rule,” which in its initial form prohibits proprietary trading and banks from owning hedge funds or private equity funds. Five federal financial regulatory agencies have agreed to extend until… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, FinTech Trends, Back-Office, Integration, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: CFTC, Citigroup, deadline, Federal Deposit Insurance Corp, Federal Reserve Board, Finastra, National Bank, National Bank of Egypt, Office of the Comptroller of the Currency, SEC, TransFICC, Vestmark, VestmarkONE, Volcker Rule

The Fed’s Quiet Move to Avoid Widespread Panic

May 5, 2016 by Eugene Grygo

The Fed’s Quiet Move to Avoid Widespread Panic

Amid all the endless claptrap about interest rates, the Federal Reserve Board quietly this week proposed a rule that might help global markets sidestep widespread panic if a very large institution goes bankrupt and has lots of bilateral derivatives contracts on its books. The proposed rule would delay the immediate cancellation of qualified financial contracts… Read More >>

Filed Under: Derivatives Operations, Opinion, Minding the Gap, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: derivatives, Dodd-Frank, FDIC, Federal Reserve Board, global systemically important banking institutions, GSIBs, isda, Office of the Comptroller of the Currency, QFC, qualified financial contracts

Could Poor Op Risk Management Spur Another Financial Crisis?

July 31, 2015 by Ryan Boysen

Poor operational risk management related to the origination and securitization of mortgages played a large but often overlooked role in the Great Recession. Now, eight years on, industry observers are split over whether the financial services industry has learned its lessons on the pitfalls of neglecting Op Risk. Linda Allen, a finance professor at Baruch… Read More >>

Filed Under: Securities Operations, Operational Risk, Ops Automation, Risk Management, FinTech Trends, Back-Office, Standards, Regulation & Compliance Tagged With: DTCC, MERS, Office of the Comptroller of the Currency, operational risk

Medium-Sized Firms Get Stress Tests Too: Regulators

June 2, 2015 by Eugene Grygo

In case they have forgotten, medium-sized securities firms with total consolidated assets between $10 billion and $50 billion have been reminded by regulators about the disclosure requirements for the annual stress tests that they are required to conduct. “These medium-sized companies are required to conduct annual, company-run stress tests implementing a provision of the Dodd-Frank Wall… Read More >>

Filed Under: Operational Risk, Regulation & Compliance Tagged With: Basel III, compliance, Comprehensive Capital Assessment and Review, Dodd-Frank, FDIC, Federal Reserve, Office of the Comptroller of the Currency

Regulatory & Investor Demands Spur New Respect for Risk Ops

September 17, 2014 by Ryan Boysen

Risk management operations is finally coming into its own as post-Great Recession regulatory and investor pressures begin to bear down on buy- and sell-side firms in the U.S. and the European Union. On the sell side, big banks in the U.S. and the EU are being forced to take action by the crack of the… Read More >>

Filed Under: Operational Risk Tagged With: AIFMD, chief compliance officer, chief risk officer, enterprise risk management, FBR Capital Markets, Federal Reserve, Full Moon Talent, Laurence Wormald, Office of the Comptroller of the Currency, Paul Miller, quantitative risk, risk management, Spencer Knibbe, Stress Test

OCC Orders Banks to Stop ‘Excessive Risk’

September 3, 2014 by Ryan Boysen

Board members of financial services firms are being told to take a more active role in pushing compliance with “safe and sound” banking practices and to oppose management proposals with “excessive risk taking,” according to the final guidelines on governance and risk management practices published by the Office of the Comptroller of the Currency (OCC)…. Read More >>

Filed Under: Operational Risk, Risk Management, FinTech Trends Tagged With: board of directors, compliance, Office of the Comptroller of the Currency, Professional Risk Managers' International Association, risk management, SunGard

Is the Volcker Rule Worth $4.3 Billion?

March 24, 2014 by

In its latest analysis, the Office of the Comptroller of the Currency estimates that the cost of the Volcker Rule for financial services firms will range widely from $413 million to $4.3 billion. In return, the industry may get a Holy Grail of transparency via “required metrics reporting, reduced conflicts of interests, improved safety and… Read More >>

Filed Under: Minding the Gap Tagged With: Office of the Comptroller of the Currency, Volcker Rule

SEC Adopts Volcker Rule

December 10, 2013 by Eugene Grygo

The SEC has adopted a final version of the Volcker Rule in a 3-to-2 vote that is a milestone for regulatory reform on Wall Street.SEC Commissioners Daniel M. Gallagher and Michael S Piwowar voted against adoption of the restrictions upon banks and proprietary trading. SEC Chair Mary Jo White and SEC Commissioners Luis A. Aguilar… Read More >>

Filed Under: Derivatives Operations, Derivatives, Regulatory Compliance Tagged With: CFTC, Dodd-Frank, FDIC, Federal Reserve, financial regulation, Office of the Comptroller of the Currency, proprietary trading, SEC, Volcker Rule

SEC to Take on the Volcker Rule

December 6, 2013 by Eugene Grygo

The SEC will be joining a hallelujah chorus of sorts as the CFTC, the Federal Reserve, the Federal Deposit Insurance Corp. and the Office of the Comptroller of the Currency are expected to vote on the Volcker Rule on Tuesday.Clarifying media speculation, the SEC will be taking up the Volcker Rule on Tuesday, Dec. 10,… Read More >>

Filed Under: Derivatives Operations, Derivatives, Regulatory Compliance Tagged With: CTFC, Federal Deposit Insurance Corp, Federal Reserve, Office of the Comptroller of the Currency, SEC, Volker Rule

  • 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