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Should Risk & Resilience for Ops Be One?

July 20, 2022 by Eugene Grygo

Should Risk & Resilience for Ops Be One?

Should the securities operations industry rethink the gap between operational resilience and operational risk? Should those working in operations bring the two disciplines closer together, and by doing so, develop a stronger architecture for securities operations? Those are the questions that Guy Warren, CEO at ITRS Group, is pondering and he wants you to ponder… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, Opinion, Minding the Gap Tagged With: back office, Buy-side, compliance, data management, Eugene Grygo, ITRS Group, Minding the Gap, operational resilience, operational risk, operations, Securities Operations, Standards, wall street

Schroders Embraces Blockchain & Other News Briefs

July 20, 2022 by FTF News

Schroders Embraces Blockchain & Other News Briefs

Schroders Takes Minority Stake in Forteus   Invesment management giant Schroders is investing in Forteus, an asset manager with a focus on blockchain technology and digital assets. Schroders officials say that they will develop next-generation investment solutions via the new arrangement. Forteus is the asset management arm of the Numeus Group, a diversified digital asset… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Diversity, Equity, and Inclusion (DEI), Digital Transformation, FinTech Trends, Standards, Performance Measurement, Industry News, People Moves Tagged With: automation, back office, collateral management, compliance, electronic trading, performance measurement, regulatory reporting, Schroders, Securities Operations, Tradeweb

CAT Overseers Shift Key Deadline for Broker-Dealers

July 15, 2022 by Eugene Grygo

CAT Overseers Shift Key Deadline for Broker-Dealers

A new deadline has been set for a key aspect of the ambitious, big data, securities transaction monitoring project known as the Consolidated Audit Trail (CAT). The new deadline is intended to help broker-dealers grappling with the inclusion of information about customer accounts, and the deadline extension will give CAT participants more time to deal… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Settlement, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Economic Sanctions, Industry News Tagged With: automation, back office, CAT, CAT NMS, compliance, Consolidated Audit Trail (CAT), data management, exchanges, FINRA, Securities Operations, self-regulatory organizations (SROs)

SocGen Joins Broadridge’s Repo Platform & Other News

July 15, 2022 by FTF News

SocGen Joins Broadridge’s Repo Platform & Other News

Société Générale Supports Repos via DLT     French banking giant Société Générale reports that it is now “live on the distributed ledger technology repo platform” created by vendor Broadridge Financial Solutions. The platform “accelerates the digitization of the global repo market, empowering participants to realize immediate benefits of reduced risk and operational costs and enhanced… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, General Interest, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, back office, blockchain, compliance, data management, Financial Crime, fines, fintech innovation, operational risk, operations, Securities Operations

JPMorgan Pays $850K to Resolve FX Swaps Case

July 15, 2022 by Eugene Grygo

JPMorgan Pays $850K to Resolve FX Swaps Case

JPMorgan has reached a $850,000 settlement with the CFTC in a case involving charges that three of the investment bank’s units failed to comply with their reporting obligations as swap dealers. The CFTC order also requires JPMorgan and its swap-dealing entities to cease and desist from further violations of the Commodity Exchange Act (CEA) and… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Settlement, Governance, Back-Office, Integration, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: automation, back office, Buy-side, CFTC, clearing, collateral management, compliance, derivatives, FX, Securities Operations, settlement, Short-dated FX swaps, Standards, wall street

RA Capital Picks Xenomorph & Other News Briefs

July 12, 2022 by FTF News

RA Capital Picks Xenomorph & Other News Briefs

Xenomorph to Support Key Groups at RA Capital Boston-based investment manager RA Capital has selected data management solutions vendor Xenomorph to provide enterprise data management (EDM) support for the firm’s bio-tech and financial data needs, officials say. “We were diligent in the selection of RA Capital’s data platform. We wanted more than a standard security… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Governance, Digital Transformation, Back-Office, Standards, Performance Measurement, KYC, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, back office, Buy-side, collateral management, data management, ING Group, institutional investor, investment manager, operations, OSTTRA, Securities Operations, settlement, wall street

Interactive Brokers Settles Exchange Fees Case for $1M

July 12, 2022 by Louis Chunovic

Interactive Brokers Settles Exchange Fees Case for $1M

The Commodity Futures Trading Commission reports that it has settled charges against Interactive Brokers LLC, a registered futures commission merchant, for “failing to diligently supervise its employees’ handling of exchange fees charged to customers.” The commission’s order calls for Interactive Brokers to “cease and desist from violating the CFTC regulation addressing supervision, pay $710,828.14 in… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Operational Risk, Ops Automation, Governance, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: automation, back office, CFTC, compliance, data management, derivatives, futures, Futures Clearing Merchants (FCMs), Interactive Brokers, Securities Operations

EY Penalized $100M via SEC’s Exam Cheating Case

July 8, 2022 by Louis Chunovic

EY Penalized $100M via SEC’s Exam Cheating Case

The Securities and Exchange Commission has charged auditor Ernst & Young LLP with “cheating by its audit professionals on exams required to obtain and maintain Certified Public Accountant (CPA) licenses, and for withholding evidence of this misconduct from the SEC’s Enforcement Division during the Division’s investigation of the matter.” Ernst & Young (EY) “admits the… Read More >>

Filed Under: General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Back-Office, Standards, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: auditors, back office, Ernst & Young, Public Company Accounting Oversight Board (PCAOB), regulation, regulatory reporting, SEC, Securities Operations, wall street

SS&C’s Asset Allocator Platform Launches & Other News

July 5, 2022 by FTF News

SS&C’s Asset Allocator Platform Launches & Other News

SS&C Uses FundHub for New Platform Post-trade systems and software vendor SS&C Technologies reports that it has launched the Asset Allocator Platform, based on FundHub, to provide a holistic view of portfolio holdings, a fund document repository, and performance analysis features. SS&C GlobeOp describes FundHub as “a web-based tool for building and managing alternative investment… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Back-Office, Standards, Performance Measurement, KYC, Regulation & Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, back office, compliance, data management, operational risk, performance measurement, reconciliation, Securities Operations, settlement, SS&C, Standards

DTCC Report Hub Attracts 70+ Clients

July 5, 2022 by Eugene Grygo

DTCC Report Hub Attracts 70+ Clients

More than 70 firms have signed up for a service that manages regulatory reporting  requirements for 14 jurisdictions — the DTCC Report Hub — an offering of post-trade systems and services provider Depository Trust & Clearing Corp., officials say. In late 2020, the DTCC acquired a platform for compliance management reporting, dubbed the Compliance Management… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Securities Operations, Buy-Side, Data Management, Industry News, Operational Risk, Ops Automation, Reconciliation & Exceptions, Settlement, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Economic Sanctions, Industry News Tagged With: back office, compliance, corporate actions, data management, derivatives, Dodd-Frank, operational risk, operations, OTC derivatives, reconciliation, regulatory reporting, Securities Operations

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