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SEC Report Offers Useful Stats On Trillions of Dollars

May 7, 2024 by Eugene Grygo

SEC Report Offers Useful Stats On Trillions of Dollars

The SEC mostly taketh when it comes to data, regulatory forms, and ongoing reports. But every once in a while the regulator giveth as far as key data about trillions of dollars flowing through the securities industry. In particular, SEC staff has just released a new report, “Registered Fund Statistics,” that is based on “aggregated… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Corporate Actions, Data Management, Hedge Fund Operations, Industry News, Risk Management, Sell-Side, Settlement, T+1 Settlement, Diversity & Human Interest, Financial Inclusion, Women in Financial Services, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Back-Office, Standards, Opinion, Minding the Gap, Performance Analytics, Performance Measurement, Portfolio Management, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: asset managers, financial services industry, FINRA, MIDAS, SEC, Securities Operations, securities trading, Standards, US Securities and Exchange Commission, wall street

Your AI Team Should Be Cross Functional: Q&A

December 20, 2018 by Eugene Grygo

Your AI Team Should Be Cross Functional: Q&A

(Artificial intelligence (AI) and machine learning (ML) technologies are poised to cause major overhauls in the financial services industry. Securities operations teams across the globe are laying the groundwork to embrace this inevitable disruption. To provide our readers with insight on how to take the first steps, FTF News reached out to Rashed Haq, the… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Ops Automation, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Back-Office, Standards, Opinion, Q&As, Industry News, People Moves Tagged With: AI, artificial intelligence, artificial intelligence (AI), data engineering, innovation, machine learning, managed process, Publicis.Sapient, Rashed Haq, securities trading

Mining the Metadata of Cloud-Based Voice Trading

November 19, 2018 by Eugene Grygo

Mining the Metadata of Cloud-Based Voice Trading

(Editor’s note: Germán Soto Sanchez, president of Cloud9 Technologies, answers questions from FTF News about the metadata and operational benefits that can be derived from software-based voice trading that is supported via cloud computing. Sanchez also reviews the limits of hardware-based trading turrets that in the past have dominated trading desks relying on phone systems… Read More >>

Filed Under: Securities Operations, Operational Risk, Ops Automation, Risk Management, Governance, FinTech Trends, Opinion, Q&As, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting Tagged With: AI, Cloud9 Technologies, data mining, Germán Soto Sanchez, metadata, robotic process automation, securities trading, voice trading

FRTB Deadlines Coming Faster Than You Think: Q&A

August 3, 2018 by Eugene Grygo

FRTB Deadlines Coming Faster Than You Think: Q&A

(Based in Paris, Murex serves financial services firms via solutions for securities trading, treasury markets, risk management, and post-trade operations. A majority of the voters in the FTF News Technology Innovation Awards competition selected Murex’s MX.3 as the Software Solution of the Year for 2107. We got time with Frank Heanue, who is head of… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Clearing, Middle-Office, Operational Risk, Ops Automation, Risk Management, Back-Office, Opinion, Q&As, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: DevOps, Frank Heanue, FTF Awards 2018, FTF News Technology Innovation Awards 2018, Murex, post-trade operations, Q&A, risk management, securities trading, Software Solution of the Year, treasury markets, Value at Risk, VaR

Elixirr & Kaizen Partner to Fix Reporting Errors

March 28, 2018 by Eugene Grygo

Elixirr & Kaizen Partner to Fix Reporting Errors

Management consultant Elixirr and regulatory support vendor Kaizen Reporting are partnering to provide financial services firms with comprehensive remediation capabilities to identify reporting problems, fix the root causes of them, and then resubmit the correct data. Both companies are combining their offerings to facilitate end-to-end support to help securities trading firms tackle a growing list… Read More >>

Filed Under: Securities Operations, Data Management, Operational Risk, Ops Automation, Risk Management, Governance, FinTech Trends, Back-Office, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: Dario Crispini, data management, data quality, Elixirr, end-to-end support, Ian Rennie, Kaizen Reporting, MiFID II, regulatory support, securities trading

Q&A: Ops Cost-Cutting to Survive Market Turmoil

February 21, 2018 by Eugene Grygo

Q&A: Ops Cost-Cutting to Survive Market Turmoil

(Editor’s note: Volatile global markets are becoming the norm for 2018 and as yet there isn’t a consensus on the underlying reasons. Many industry observers are predicting that there will be more corrections to come as inflation and interest rate increases worry investors. Whatever the actual causes, there have been moments of turbulence that are… Read More >>

Filed Under: Securities Operations, Industry News, Operational Risk, Ops Automation, General Interest, Governance, FinTech Trends, Back-Office, Standards, Opinion, Q&As, Industry News Tagged With: Brad Bailey, Celent, IT overhauls, market correction, market volatility, regulatory reporting, securities trading

Q&A: Upgrade IT Systems Despite Furious Market Correction

February 16, 2018 by Eugene Grygo

Q&A: Upgrade IT Systems Despite Furious Market Correction

(Editor’s note: Global financial markets have been rising and falling dramatically over the past two weeks and many industry observers say that markets are going through a correction/selloff. Ultimately, volatility returned to markets and many analysts say that it may become the new normal. “We suspect that the volatility will likely continue in both directions… Read More >>

Filed Under: Securities Operations, Data Management, Industry News, Ops Automation, General Interest, Governance, FinTech Trends, Back-Office, Opinion, Q&As, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: Bart Chilton, financial services firms, IT systems, market correction, market volatility, operations and compliance, Q&A, regulatory reporting, securities trading

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