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Northern Trust & SimCorp to Build Custody Data Links

February 27, 2023 by Eugene Grygo

Northern Trust & SimCorp to Build Custody Data Links

Northern Trust and investment management solutions vendor SimCorp report that they are collaborating to facilitate an integrated exchange of data for clients of the custodian that also use the SimCorp Dimension platform. The collaboration leverages SimCorp’s software “with pre-established connectivity and Northern Trust’s support for data management,” says James Wright, head of asset owners, EMEA at… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Buy-Side, Data Management, General Ops, Outsourcing, Settlement and T+2, FinTech Ops, Back-Office, Integration, Middle-Office, Risk Management, Standards, KYC, Operational Risk, Industry News Tagged With: automation, back office, data management, operations, Standards, Nordic, EMEA, SimCorp, Northern Trust, Securities Operations

NYDFS Bolsters Crypto Fraud Monitoring Tools & Other News

February 23, 2023 by FTF News

NYDFS Bolsters Crypto Fraud Monitoring Tools & Other News

NYDFS Redoubles Crypto Fraud Detection Efforts The New York State Department of Financial Services (NYDFS) has improved its cryptocurrency fraud detection of New York State-regulated entities via “new insider trading and market manipulation risk monitoring tools,” according to  Adrienne A. Harris, superintendent for the NY DFS. The new monitoring tools will help NY DFS detect… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Buy-Side, Data Management, General Ops, Performance Measurement, Derivatives Operations, Collateral Management, 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, Human Interest Tagged With: artificial intelligence (AI), automation, back office, operations, Buy-side, regulatory reporting, Financial Crime, fines, Securities Operations, New York State Department of Financial Services (NYDFS)

Corporate Actions Processing Needs Standards & Uniformity: SIFMA

February 10, 2023 by Eugene Grygo

Corporate Actions Processing Needs Standards & Uniformity: SIFMA

U.S. corporate actions processing needs more standards and that will require more regulation focused on the timing of corporate actions notifications, submissions, disclosers, and supporting activities, according to a new report from industry association SIFMA and consultancy Ernst & Young (EY). Smoother corporate actions processing would also be in line with the securities industry push… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Buy-Side, Corporate Actions, Data Management, General Ops, Performance Measurement, Reconciliations, Settlement and T+2, Derivatives Operations, Clearing, Derivatives Processing, Regulation, Back-Office, Middle-Office, Risk Management, Standards, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: automation, corporate actions, back office, operations, reconciliation, Standards, settlement, Sifma, corporate actions processing, wall street, operational risk, Securities Operations

SimCorp Faces a Horse Race in North America: Q&A

February 1, 2023 by Eugene Grygo

SimCorp Faces a Horse Race in North America: Q&A

(Editor’s note: Investment management solutions vendor SimCorp, based in Copenhagen, recently announced that it had hired John Needham to be its next managing director for SimCorp North America. An industry veteran with 25 years of experience, Needham had been working for trading and risk management provider Murex in a senior leadership position before joining SimCorp…. Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Buy-Side, Data Management, General Ops, Outsourcing, Performance Measurement, Reconciliations, Settlement and T+2, Back-Office, Integration, Middle-Office, Risk Management, Standards, Operational Risk, Industry News, People Moves, Opinion, Q&As, Human Interest Tagged With: automation, middle office, back office, operations, wall street, Blackrock, operational risk, SimCorp, Securities Operations, software-as-a-service (SaaS)

Firms Are Behind On CFTC Rewrite Deadline: Survey

November 18, 2022 by Eugene Grygo

Firms Are Behind On CFTC Rewrite Deadline: Survey

More than half of the respondents to a recent survey say that they are behind in meeting the pending reporting requirements for what is known as the “Commodity Futures Trading Commission (CFTC) Rewrite,” which means that they might miss the December implementation deadline. The CFTC Rewrite refers to the changes coming to the over-the-counter (OTC)… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Buy-Side, Derivatives Operations, Clearing, Collateral Management, Derivatives Processing, Regulation, Back-Office, Middle-Office, Risk Management, Standards, Regulation & Compliance, Governance, KYC, Operational Risk, Regulatory Reporting, Industry News Tagged With: CFTC Rewrite, automation, back office, CFTC, data management, compliance, operations, OTC derivatives, wall street, regulatory reporting, Dodd Frank Act, operational risk, Securities Operations

Ops Needs to Work More Closely with IT: Q&A

November 1, 2022 by Eugene Grygo

Ops Needs to Work More Closely with IT: Q&A

(FTF News recently got time with Emin Tatosian, the co-founder and chief technology officer (CTO) of FX HedgePool, a matching platform for the FX swaps market that launched in 2019. The company, which targets the mid-market execution of FX swaps, says it separates liquidity from credit and helps passive hedgers move liquidity among themselves with… Read More >>

Filed Under: Digital Transformation, Private Markets, Securities Operations, Automation, Buy-Side, Data Management, General Ops, Outsourcing, Performance Measurement, Integration, Middle-Office, Risk Management, Standards, Governance, KYC, Operational Risk, Regulatory Reporting, Opinion, Q&As Tagged With: automation, middle office, back office, front office, data management, operations, IT infrastructure, Standards, IT management, regulatory reporting, Securities Operations

FCA Targets False ESG Labels

November 1, 2022 by Louis Chunovic

FCA Targets False ESG Labels

Picture it, teatime at London’s Financial Adventurers Club. “I say, chaps,” says one disreputable fellow, “did you see what the Yanks have come up with? ‘Green investing’! ‘Sustainable’! Must be some way to pocket a few shillings peddling that to the punters.” That’s greenwashing, and you can add it to your list of financial scams…. Read More >>

Filed Under: Diversity, ESG, Digital Transformation, Securities Operations, Automation, Buy-Side, Data Management, General Ops, FinTech Ops, Back-Office, Integration, Middle-Office, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Governance, KYC, Operational Risk, Regulatory Reporting, Sanctions, Industry News Tagged With: ESG Reporting, ESG Data, ESG metrics, automation, back office, data management, compliance, operations, Standards, operational risk, Financial Conduct Authority (FCA)

CACEIS & RBC Investor Services Collaborate & Other News

October 26, 2022 by FTF News

CACEIS & RBC Investor Services Collaborate & Other News

CACEIS to Acquire Part of RBC Investor Services CACEIS, the asset servicing banking group of Crédit Agricole S.A. and Santander, and the Royal Bank of Canada (RBC) report that they have signed a Memorandum of Understanding (MoU) intended to result in the CACEIS acquisition of the European asset servicing activities of RBC Investor Services and… Read More >>

Filed Under: Diversity, ESG, Digital Transformation, Securities Operations, Automation, 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, Integration, Middle-Office, Risk Management, Regulation & Compliance, Operational Risk, Regulatory Reporting, Industry News, People Moves, General Interest, M&A, Human Interest Tagged With: cleared derivatives, automation, back office, performance measurement, operations, settlement, Market Data, regulatory reporting, Securities Operations

SEC Ends WORM-Only Storage Requirement

October 26, 2022 by Eugene Grygo

SEC Ends WORM-Only Storage Requirement

At long last, the SEC is ushering in a new era of electronic recordkeeping and many across the land are happy about it. In particular, the SEC has voted to adopt amendments to its rules regarding “electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Data Management, General Ops, Derivatives Operations, Regulation, FinTech Ops, Artificial Intelligence, Integration, Risk Management, Standards, Regulation & Compliance, AML/Fraud/Financial Crime, Cybersecurity, Operational Risk, Regulatory Reporting, Sanctions, Industry News, Opinion, Minding the Gap, Blog Tagged With: write once, WORM, automation, back office, SEC, compliance, operations, Standards, wall street, collateral optimization, Securities Operations, WORM-compliant

SIBOS Explores a Shared Digital Future

October 17, 2022 by Eugene Grygo

SIBOS Explores a Shared Digital Future

The multiple impacts of digital assets and the digitization of traditional assets got plenty of attention at the first in-person version of the Sibos conference since 2019 that got underway earlier this week in Amsterdam. Put on by the SWIFT cooperative, Sibos 2022 was expecting “nearly 10,000 participants,” according to officials. The conference sessions, which… Read More >>

Filed Under: Digital Transformation, Securities Operations, Automation, Blockchain/DLT, Buy-Side, Corporate Actions, Data Management, General Ops, Performance Measurement, Reconciliations, Settlement and T+2, Derivatives Operations, Clearing, Regulation, FinTech Ops, Artificial Intelligence, Back-Office, Case Studies, Integration, Middle-Office, Risk Management, Standards, Regulation & Compliance, Governance, KYC, Operational Risk, Regulatory Reporting, Industry News Tagged With: SWIFT SIBOS, SIBOS 2022, automation, back office, data management, compliance, operations, SWIFT, blockchain, wall street, Securities Operations

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