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Post-LIBOR Shifts Need a Strategy: Q&A

March 2, 2022 by Eugene Grygo

Post-LIBOR Shifts Need a Strategy: Q&A

(With LIBOR for new contracts ending Dec. 31, 2021, and LIBOR’s usage finally over as of June 30, 2023, a new era for risk-free reference rates is underway. Financial services firms are transitioning to replacements such as the Secured Overnight Financing Rate (SOFR), and they are grappling with the post-LIBOR impacts upon their trading, risk,… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Mergers & Acquisitions, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, Digital Transformation, FinTech Trends, Back-Office, Integration, Standards, Opinion, Q&As, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News, FTF Awards Tagged With: automation, back office, clearing, collateral management, data management, LIBOR, margin, margining, operations, risk management, Securities Operations, settlement, SOFR, trading and markets, wall street

Aegis Capital Settles Charges of Excessive Trading

November 17, 2021 by Louis Chunovic

Aegis Capital Settles Charges of Excessive Trading

FINRA, the financial services industry’s self-regulatory authority, has levied fines and a sanction against Aegis Capital Corp. and two of its supervisors, Joseph Giordano and Roberto Birardi. Aegis Capital neither admits nor denies the FINRA accusations. However, Aegis will pay $1.7 million in restitution to 68 customers “whose accounts were potentially excessively and unsuitably traded… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Industry News, Operational Risk, Ops Automation, Risk Management, Governance, Back-Office, Standards, KYC, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: Aegis Capital, back office, compliance, fines, FINRA, penalty, Securities Operations, securities trading services, trading and markets, trading fees

Cris Conde to Advise Duco CEO

October 31, 2017 by FTF News

Cris Conde to Advise Duco CEO

Conde to Also Advise Duco Board  Former president and CEO of SunGard Cristóbal Conde has joined Duco, which describes itself as a self-service data normalization and reconciliation services provider, as an advisor to Duco CEO Christian Nentwich and to the board of directors, officials say. FIS Global (Fidelity National Information Services Inc.) acquired SunGard in… Read More >>

Filed Under: Securities Operations, Ops Automation, Reconciliation & Exceptions, Diversity, Equity, and Inclusion (DEI), FinTech Trends, Back-Office, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: Brett Redfearn, Cris Conde, Cristobal Conde, Duco, Frederick H. Waddell, London Stock Exchange Group, Northern Trust Corp., SEC, trading and markets, Xavier Rolet

Promotion in SEC’s Office of Market Supervision

June 25, 2015 by Eugene Grygo

The SEC has promoted John C. Roeser to the post of associate director and deputy head of the office of market supervision in its division of trading and markets, officials say. Roeser, who assumed the new post immediately, has been an assistant director in the office of market supervision since 2005 and played a key… Read More >>

Filed Under: Industry News, People Moves Tagged With: compliance, Dodd-Frank, DTCC, SEC, trading and markets

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