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The Treasury Clearing Reprieve Could Prevent Pitfalls

March 5, 2025 by Eugene Grygo

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 >>

Filed Under: Securities Operations, Back Office, Buy-Side, Data Management, Industry News, Operational Risk, Ops Automation, Standards, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting Tagged With: clearing, Fixed Income, fixed income commodities and currencies (FICC), operational risk, OTC derivatives, regulatory reporting, repo, SEC, Securities Industry and Financial Markets Association (SIFMA), Securities Operations, U.S. Department of the Treasury, US Treasurries, US treasury markets, wall street

SEC & CFTC Prioritize Crypto Regs Creation

February 12, 2025 by Eugene Grygo

SEC & CFTC Prioritize Crypto Regs Creation

The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) are following up on their recent announcements to move quickly on cryptocurrency regulation just as industry providers are getting on the crypto train. The SEC is offering more details about the mission of its special Crypto Task Force and the CFTC will be… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Back Office, Data Management, Industry News, Operational Risk, Ops Automation, Risk Management, Settlement, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Digital Asset Custody, Digital Transformation, FinTech Startups, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting Tagged With: automation, back office, CFTC, compliance, cryptocurrency exchanges, cryptocurrency regulation, cryptocurrency trading, data management, SEC, Securities Operations, US Securities and Exchange Commission

Is the SEC Defanging or Protecting the CAT?

February 12, 2025 by Eugene Grygo

Is the SEC Defanging or Protecting the CAT?

Is the Securities and Exchange Commission (SEC) undercutting or protecting the Consolidated Audit Trail (CAT) through a new exemption that would allow “natural persons” to sidestep supplying “certain personally identifiable information (PII)” such as names, addresses, and years of birth? CAT is an ambitious and controversial big data, U.S. securities transaction monitoring project that has… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Data Management, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: Big Data, CAT, compliance, Consolidated Audit Trail, Financial Crime, SEC, Standards

SEC & CFTC Extend Deadline for Form PF Amendments

February 5, 2025 by Eugene Grygo

SEC & CFTC Extend Deadline for Form PF Amendments

Sometimes it pays to fight City Hall, especially when there’s a new City Hall. The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) – now both under the control of the Trump administration — last week extended a controversial compliance date for the amendments to Form PF from March 12, 2025,… Read More >>

Filed Under: Derivatives Exchanges, Derivatives Operations, Derivatives Processing, Securities Operations, Back Office, Data Management, Hedge Fund Operations, Middle-Office, Operational Risk, Private Markets, Sell-Side, Diversity & Human Interest, Fun & Recreation, Salaries & Bonuses, Whistleblower News, Governance, Digital Transformation, Reporter's Notebook, ESG Data & Investing, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, CFTC, compliance, derivatives, Form PF, hedge funds, OTC derivatives, private equity funds, SEC, Securities Operations, Standards, wall street

Trump’s Team Pushes Hard for Crypto Regulatory Overhaul

January 29, 2025 by Eugene Grygo

Trump’s Team Pushes Hard for Crypto Regulatory Overhaul

The new Trump administration’s crypto- and digital asset train is moving full speed ahead to help Trump deliver on a campaign promise to make the USA the “crypto capital of the planet.” The impact on the securities industry and operations could be profound as the Trump team wants to fast-track innovation, new rules, guardrails, and… Read More >>

Filed Under: Securities Operations, Back Office, Ops Automation, Risk Management, Settlement, Digital Asset Custody, Digital Transformation, FinTech Startups, FinTech Trends, Blockchain/DLT, Portfolio Management, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Cybersecurity, Regulatory Compliance, Regulatory Reporting Tagged With: automation, back office, blockchain, crypto-based assets, Digital Assets, operational risk, regulation, SEC, tokenization, wall street

A Roundup of Predictions for 2025

January 22, 2025 by Eugene Grygo

A Roundup of Predictions for 2025

I’m a little late to the predictions party but please indulge me. This is a completely unscientific, random, and unusual set of predictions for this year and maybe a little beyond. I have scanned the usual suspects and unorthodox places and presented a variety of points of view while adding a few of my own…. Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Industry News, Ops Automation, Settlement, T+1 Settlement, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Digital Asset Custody, Digital Transformation, Back-Office, Blockchain/DLT, Opinion, Minding the Gap, Regulation & Compliance, Regulatory Enforcement Tagged With: artificial intelligence (AI), back office, blockchain, CFTC, cloud computing, Predictions, SEC, Securities Operations, settlement, wall street

Trump’s SEC May Be Less Aggressive On Fines

December 11, 2024 by Eugene Grygo

Trump’s SEC May Be Less Aggressive On Fines

(The Trump team is moving fast to get its cabinet nominees in order, and Paul Atkins, a former SEC commissioner under President George W. Bush, has been tapped to head the SEC. If Atkins wins the approval of the U.S. Senate, he will succeed Gary Gensler, who steps down on Inauguration Day. FTF News asked… Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Operational Risk, Sell-Side, Opinion, Q&As, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: Digital Assets, fines, FINRA, regulatory reporting, SEC, SEC Chairman, Securities Operations, US Securities and Exchange Commission, wall street

SEC Chair Gensler to Step Down January 20

November 21, 2024 by Eugene Grygo

SEC Chair Gensler to Step Down January 20

Gary Gensler will not be filling out his term as chair of the Securities and Exchange Commission (SEC) as he will be stepping down as its 33rd Chair effective at Noon on Inauguration Day, January 20, 2025, according to an SEC announcement With the onset of the second Trump administration, Gensler was never expected to… Read More >>

Filed Under: Developing Story, Securities Operations, Industry News, Digital Asset Custody, Digital Transformation, Back-Office, Blockchain/DLT, Standards, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Industry News Tagged With: compliance, Gary Gensler, regulatory reporting, SEC, Securities Operations, Standards

ACA Group Acquires FINOP Consulting

November 13, 2024 by FTF News

ACA Group Acquires FINOP Consulting

Governance, risk, and compliance (GRC) solutions provider ACA Group hopes to bolster the FINRA and SEC compliance services it offers to broker-dealers via the acquisition of FINOP Consulting, an outsourcer for broker-dealers, officials say. Officials declined to provide the financial terms of the acquisition. FINOP Consulting offers financial operations services “that ensure a broker-dealer’s financial… Read More >>

Filed Under: Operational Risk, Sell-Side, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting Tagged With: books and records, compliance, Financial Industry Regulatory Authority (FINRA), SEC, Securities Operations, Standards, wall street

A Glimpse at Gary Gensler’s Legacy

November 11, 2024 by Eugene Grygo

A Glimpse at Gary Gensler’s Legacy

With the second Trump administration coming to power in January, Gary Gensler, chair of the Securities and Exchange Commission (SEC), is unlikely to be a part of the new team.  During the campaign, Trump stated that he would replace Gensler. In fact, multiple media outlets have recently reported that Trump’s transition team is searching for a replacement… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Clearing, Settlement, T+1 Settlement, Opinion, Minding the Gap, Regulation & Compliance, Regulatory Compliance Tagged With: back office, crypto-assets, Digital Assets, regulatory reporting, SEC, secuirties lending, Securities Operations, settlement, T+1 settlement, T+1 transition, wall street

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