Client and regulatory reporting responsibilities for asset managers and asset owners have always been essential operations that, by definition, have to be without flaws, are basic requirements, and are focused on clients’ needs. A new report from provider FactSet, “At the End of It: A Buy-Side Playbook for Reporting Success,” is making the case that… Read More >>
SEC Explores New Rules for RMBS & ABS Transactions
The Securities and Exchange Commission (SEC) wants to hear from the securities industry about ways the regulator can improve its rules governing residential mortgage-backed securities (RMBS) and aspects of asset-backed securities (ABS). To gather those opinions, the SEC published a concept release inviting public comment. “The concept release notes there have been no public RMBS… Read More >>
Can Blockchain Analytics Mitigate Risk & Underpin Compliance?
The New York State Department of Financial Services (NYDFS) is showing new concern about “firms dipping their toes into crypto activities” and, through a new guidance, is urging banks (and other types of firms) to embrace blockchain analytics tools as a way to mitigate risk and achieve regulatory compliance. A guidance “is not intended to… Read More >>
Time to Embrace Tokenized Bank Liabilities?
A new report backed by regulators and financial services industry groups aims to set the stage for using tokenized bank liabilities and shared ledgers in cross-border payments and foreign exchange (FX) settlement. The initiative falls under Project Guardian, a global effort led by the Monetary Authority of Singapore (MAS) to enhance liquidity and efficiency in… Read More >>
FTF Reveals Winners of the 14th Annual Awards Program
Financial Technologies Forum (FTF) has revealed the winners of the 2025 FTF News Technology Innovation Awards program, and cutting-edge and mainstream achievements are the common themes among the winners. The FTF Awards program — now in its 14th year — honors providers, organizations, and individuals who made significant contributions to the profession of securities operations… Read More >>
FICC Processes $11 Trillion in UST Transactions
Financial markets endured turbulence last week as Trump’s tariffs policy triggered sell-offs in equity markets. At the same time, the Depository Trust & Clearing Corp. (DTCC) and its Fixed Income Clearing Corp. (FICC) subsidiary processed an all-time high in volumes of U.S. Treasury transactions. On April 9, FICC reports that it posted more than $11… Read More >>
LDA Technologies Device Targets Data & Record-Keeping Woes
LDA Technologies, a developer of advanced ultra-low latency integrated circuits and network solutions for capital markets, has launched NeoTap X, a high-performance hardware solution that can be applied to trade monitoring, compliance reporting, advanced analytics, and optimizing network performance, officials say. The timestamping and tap aggregation features of NeoTap X are intended to help firms… Read More >>
STP Investment Services Unveils ‘STP LaunchAdvisor’
Investment operations solutions provider STP Investment Services has just unveiled STP LaunchAdvisor, a bundle of services — fund administration, investor services, regulatory filings, and core policies — targeting exempt reporting advisers and private fund managers. “The offering integrates fund administration and compliance into a single, cost-effective solution, eliminating the need for multiple service providers and… Read More >>
The OCC Provides Some Crypto Clarity for Banks
The Trump cryptocurrency push got a major regulatory green light earlier this month when the Office of the Comptroller of the Currency (OCC) reaffirmed that “a range of cryptocurrency activities are permissible in the federal banking system.” OCC officials published Interpretive Letter 1183 “to confirm that crypto-asset custody, certain stablecoin activities, and participation in independent… Read More >>
The Treasury Clearing Reprieve Could Prevent Pitfalls
The SEC’s decision to move key deadlines for its own rule requiring centralized clearing for U.S. Treasuries and Treasury-backed repurchase contracts that were formerly cleared bilaterally has been met with approval by major industry participants. However, major market players acknowledge that the industry needs a breather to catch up to the regulator’s requirements. In particular,… Read More >>
