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Morningstar Credit Ratings Settles Conflict-of-Interest Case

May 28, 2020 by Louis Chunovic

Morningstar Credit Ratings Settles Conflict-of-Interest Case

The U.S. Securities and Exchange Commission reports that it has settled with New York-based credit-rating agency Morningstar Credit Ratings, which it charged with violating a long-standing conflict-of-interest rule designed to separate a firm’s credit ratings and analysis from its sales and marketing. Morningstar Credit Ratings, a subsidiary of Morningstar, Inc., neither admits nor denies the… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: asset-backed securities, back office, compliance, conflict-of-interest policy, credit rating, fines, governance, Morningstar, SEC, Securities Operations

TORA Expands Outsourced Trading Team

May 26, 2020 by FTF News

TORA Expands Outsourced Trading Team

TORA Adds Two New York-Based Traders A provider of outsourced trading systems, TORA, maker of a cloud-based order and execution management system (O/EMS), reports the addition of two traders to its outsourced trading team: Mark Mazor and Joe Zonenshine. Mazor has more than 15 years of experience as a trader, working as a global execution… 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, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, FinTech Trends, Back-Office, Integration, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: AML/Fraud/Financial Crime, automation, back office, BNP Paribas, cloud computing, compliance, Cybersecurity, data management, RIMES Technologies, S&P, Securities Operations, structured products

Firms Need Collaboration to Keep Up: Q&A

May 20, 2020 by Eugene Grygo

Firms Need Collaboration to Keep Up: Q&A

(In the past, some financial services firms have been known to follow the mantra of “if it ain’t broke, don’t fix it,” notes Mark Bolton, head of international sales for Gresham Technologies. Yet the financial technology landscape has been changing fast and firms will have to keep up or risk having “solutions that are unable… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, FinTech Trends, Back-Office, Integration, Standards, Opinion, Q&As, Performance Measurement, KYC, Regulation & Compliance Tagged With: automation, back office, Collaboration, corporate actions, data management, fintech, FIS, Gresham Technologies, operations, Q&A, reconciliation, Securities Operations, settlement, SunGard

NYSE Trading Floor to Reopen May 26

May 18, 2020 by FTF News

NYSE Trading Floor to Reopen May 26

NYSE President Announces Floor Reopening via WSJ The open outcry trading floor of the New York Stock Exchange (NYSE) will partially reemerge “slowly and carefully” on May 26, according to Stacey Cunningham, president of the NYSE, who made the announcement via an opinion piece in The Wall Street Journal, published May 14 The return of… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Ops Automation, Outsourcing, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, FinTech Trends, Back-Office, Standards, Derivatives, Regulatory Compliance, Industry News, People Moves Tagged With: automation, back office, clearing, cloud computing, commodities, data management, FX, hedging, IT management, Lumint, machine learning, New York Stock Exchange (NYSE), Northern Trust, OTC derivatives, RJO, Securities Operations

SS&C Buys Innovest Systems for $120 Million

May 13, 2020 by FTF News

SS&C Buys Innovest Systems for $120 Million

Acquisition Adds to SS&C’s Wares for Trust Companies Securities systems and services provider SS&C Technologies recently signed a definitive agreement to acquire wealth management technology vendor Innovest Systems, based in New York City, for a total of $120 million in cash and stock, officials say. SS&C officials say that this strategic acquisition is intended to… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Mergers & Acquisitions, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Back-Office, Integration, Standards, Performance Measurement, KYC, Regulatory Reporting, Industry News, People Moves Tagged With: asset servicing, automation, back office, CLS, compliance, digiital rights management, Hong Kong Exchanges and Clearing Co. (HKEx), Securities Operations, SS&C, trust accounting

CAT Helps Sell Side Boost Regulatory Ops: Q&A

May 13, 2020 by Eugene Grygo

CAT Helps Sell Side Boost Regulatory Ops: Q&A

(The Consolidated Audit Trail (CAT) was in the headlines last month as the SEC revised the CAT reporting timeline for broker-dealers due to the complications caused by the COVID-19 pandemic. The new milestones for CAT reporting in 2020 are: June 22: initial equities reporting for large broker-dealers and small broker-dealers that report to FINRA’s Order… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Risk Management, Governance, FinTech Trends, Back-Office, Integration, Standards, Opinion, Q&As, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: Big Data, Broadridge Financial Solution, compliance, Consolidated Audit Trail (CAT), data management, operations, regulatory reporting, Securities Operations, sell side

SEC & Exchanges Clash Over Market Data Order

May 8, 2020 by Eugene Grygo

SEC & Exchanges Clash Over Market Data Order

U.S. equities exchanges are pushing back on the SEC’s sweeping order directing them and the Financial Industry Regulatory Authority (FINRA) to improve the governance structure for public, consolidated equity market data and the distribution of trade and quote data from trading venues. The order is intended to change the balance of power among trading venues… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Risk Management, Settlement, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Back-Office, Integration, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: Cboe Global Markets, compliance, Equity exchanges, FINRA, Nasdaq, National Market System (NMS), New York Stock Exchange (NYSE), regulation, regulatory reporting, SEC, Securities Industry and Financial Markets Association (SIFMA), Securities Operations

Northern Trust’s Client Portal Gets a Cloud Makeover

May 6, 2020 by FTF News

Northern Trust’s Client Portal Gets a Cloud Makeover

Online Report Center Will Become a Cloud Service Northern Trust is relaunching a client-facing portal, the Online Report Center, as a cloud-based service with a redesigned user interface, officials say. The revamped service “is currently in its beta phase with a select group of clients. The full release for all clients will be available later… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Securities Operations, Buy-Side, Case Studies, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Back-Office, Blockchain/DLT, Integration, Standards, KYC, Regulation & Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, Bakkt, BidFX, Buy-side, CACEIS, CFTC, clearing, cloud computing, collateral management, compliance, data management, Northern Trust, Securities Operations

DoJ Gives Back $378 Million to Madoff Victims

May 1, 2020 by Louis Chunovic

DoJ Gives Back $378 Million to Madoff Victims

Some day, perhaps, Malaysian sovereign-fund alleged fraudster Jho Low, who has escaped prosecution by fleeing to China, will be played in the inevitable biopic by Jet Li or Chow Yun Fat. But until then Bernie Madoff will remain Wall Street’s King of All Media. In fact, Bernard L. Madoff was so a major a media… Read More >>

Filed Under: Middle-Office, Operational Risk, Risk Management, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Back-Office, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: Bernard L. Madoff Investment Securities, compliance, department of justice, fraud, fraud detection, SEC, Securities Operations, wall street

Firm Launches Trading System Despite Pandemic

April 28, 2020 by Eugene Grygo

Firm Launches Trading System Despite Pandemic

An Australian specialist fund manager, Atlas Infrastructure, went live with Indata’s Architect AI OMS and portfolio management solution this month despite the disruptions cause by the COVID-19 pandemic, and with the vendor’s help, completed a deployment remotely. The travel restrictions caused by the pandemic meant that Indata worked with  Atlas “completely on a remote basis… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Case Studies, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Back-Office, Integration, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Compliance, Regulatory Reporting Tagged With: automation, back office, compliance, data management, derivatives, OMS, operations, reconciliation, risk management, Securities Operations

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