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24X National Exchange Will Pioneer Longer Trading Hours

June 11, 2025 by Eugene Grygo

24X National Exchange Will Pioneer Longer Trading Hours

The securities industry will take a major step toward nearly round-the-clock trading in September when the company 24 Exchange launches the first stage of the 24X National Exchange on September 29, offering trading of U.S. equities from 4:00 a.m. to 8:00 p.m. ET on weekdays. The new 24X National Exchange will initially serve “the growing demand for overnight… Read More >>

Filed Under: Securities Operations, Back Office, Clearing, Corporate Actions, Data Management, Middle-Office, Operational Risk, Ops Automation, Private Markets, Sell-Side, Settlement, T+1 Settlement, Back-Office, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: 24X National Exchange, automation, back office, clearing, compliance, data management, DTCC, Nasdaq, NSCC, Nyse, NYSE ARCA, SEC, Securities Operations, Sifma, trading hours, wall street

Congress Mulls the Fate of the PCAOB

June 11, 2025 by Eugene Grygo

Congress Mulls the Fate of the PCAOB

Securities firms, investors, government officials, and all other capital markets participants rely on the financials that auditors of public companies provide. Yet scandals large and small led to the creation of an auditor of the auditors in 2002, dubbed the Public Company Accounting Oversight Board (PCAOB), which was fostered by the U.S. Congress and then-President… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Sell-Side, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: compliance, Dodd-Frank, operational risk, PCAOB, Public Company Accounting Oversight Board (PCAOB), Sarbanes-Oxley, Securities Operations, Standards, US Securities and Exchange Commission, wall street

LTX Weaves GenA.I. Into Bond Trading Workflows

June 11, 2025 by Eugene Grygo

LTX Weaves GenA.I. Into Bond Trading Workflows

LTX, the corporate bond trading subsidiary of Broadridge Financial Solutions, has a new capability for its platform that integrates generative artificial intelligence (A.I.) capabilities within trading platform workflows that can anticipate investing and trading inquiries, officials say. The new function, dubbed BondGPT Intelligence, can expect “users’ queries based on where they are in the investing… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Hedge Fund Operations, Ops Automation, Private Markets, Risk Management, Artificial Intelligence, Digital Transformation, FinTech Trends, Integration, Standards, Industry News Tagged With: automation, bond trading, BondGPT, Broadridge Business Process Outsourcing LLC, Broadridge Financial Services, data management, fixed income trading, GPT, LTX, operational risk, Securities Operations, wall street

Microsoft Joins FINOS as Platinum Member

June 11, 2025 by FTF News

Microsoft Joins FINOS as Platinum Member

Microsoft has become a Platinum Member of the Fintech Open Source Foundation (FINOS), part of the Linux Foundation, and will be expanding its leadership role within the FINOS community, officials say. “With this expanded engagement, Microsoft is the first cloud service provider joining the FINOS Governing Board, represented by Allison Nachtigal, vice president, Azure chief… Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Data Management, Ops Automation, Risk Management, Settlement, Artificial Intelligence, Digital Transformation, FinTech Trends, Integration, Standards Tagged With: automation, cloud computing, FINOS, GitHub, Microsoft, Microsoft Azure, Standards, wall street

FTF Reveals Winners of the 14th Annual Awards Program

June 4, 2025 by FTF News

FTF Reveals Winners of the 14th Annual Awards Program

Financial Technologies Forum (FTF) has revealed the winners of the 2025 FTF News Technology Innovation Awards program, and cutting-edge and mainstream achievements are the common themes among the winners. The FTF Awards program — now in its 14th year — honors providers, organizations, and individuals who made significant contributions to the profession of securities operations… Read More >>

Filed Under: Disaster and Business Continuity, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Back Office, Buy-Side, Clearing, Corporate Actions, Data Management, FX Operations, Hedge Fund Operations, Private Equity, Middle-Office, Operational Risk, Ops Automation, Private Markets, Reconciliation & Exceptions, Risk Management, Sell-Side, Settlement, General Interest, Artificial Intelligence, Digital Asset Custody, Digital Transformation, FinTech Startups, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, ESG Data & Investing, Performance Analytics, Performance Attribution, Performance Measurement, Portfolio Management, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Economic Sanctions, FTF Awards Tagged With: automation, back office, blockchain, collateral management, compliance, data management, FTF News, OTC derivatives, regulatory reporting, Securities Operations, settlement, Standards, SWIFT, wall street

Ex-Goldman Sachs MD Sent to Prison via 1MDB Scandal

June 4, 2025 by Eugene Grygo

Ex-Goldman Sachs MD Sent to Prison via 1MDB Scandal

The wheels of justice in the U.S. appear to be a little rusty, but they still run, and every once in a while, they remind us of a major scandal or two. This is proving to be the case for Tim Leissner, a former chairman and participating managing director (MD) for Southeast Asia at Goldman… Read More >>

Filed Under: General Interest, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting Tagged With: 1MDB, compliance, Financial Crime, Minding the Gap, Standards, wall street

Bloomberg Terminals to Offer Similarweb’s Web Traffic Data

June 4, 2025 by FTF News

Bloomberg Terminals to Offer Similarweb’s Web Traffic Data

Bloomberg Terminal users now have access to web traffic data from Similarweb through the {ALTD<GO>} command, an offering intended to assist trading firms that want to better understand online behavior. The inclusion of Similarweb’s data and analytics will “significantly enhance” Bloomberg’s set of alternative data offerings, officials say. “Similarweb is the latest alternative dataset integrated… Read More >>

Filed Under: Securities Operations, Private Equity, Ops Automation, Governance, Diversity, Equity, and Inclusion (DEI), Data Science, FinTech Trends, Integration, Standards, Performance Analytics, Performance Attribution, Performance Measurement, Portfolio Management, KYC, Economic Sanctions, Social Media Tagged With: alternative data, automation, Bloomberg, Bloomberg terminal, data management, Securities Operations, Standards, wall street, web traffic

Syntax Data & Donoghue Forlines Take On Uncertainty

June 4, 2025 by FTF News

Syntax Data & Donoghue Forlines Take On Uncertainty

Syntax Data, a provider of index solutions, is working with Donoghue Forlines, a Boston-based investment firm specializing in active risk-managed portfolios, to offer index strategies aimed at mitigating downside risk caused by the new uncertainty, officials say. “The strategic partnership recently launched two indexes, the Donoghue Forlines Risk-Managed Momentum Index and the Donoghue Forlines Risk-Managed… Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Corporate Actions, Data Management, Risk Management, Sell-Side, Standards, Performance Analytics, Performance Attribution, Performance Measurement, Portfolio Management, KYC Tagged With: active management, data management, equity index, Index data, index providers, performance measurement, Securities Operations, Standards, wall street

Key Groups Challenge SEC’s Cyberattack Disclosure Processes

May 28, 2025 by Eugene Grygo

Key Groups Challenge SEC’s Cyberattack Disclosure Processes

Key securities industry trade associations are challenging the disclosure procedures of a cybersecurity rule adopted in 2023 by the U.S. Securities and Exchange Commission (SEC), asking the regulator to return to a principles-based disclosure regime. SIFMA, the American Bankers Association (ABA), the Bank Policy Institute (BPI), the Independent Community Bankers of America (ICBA), and the… Read More >>

Filed Under: Securities Operations, Back Office, Data Management, Operational Risk, Regulation & Compliance, Regulatory Enforcement, Cybersecurity, Regulatory Compliance, Regulatory Reporting Tagged With: cyber-security compliance, cyberattack, cybersecurity regulation, cybersecurity threats, disclosure, SEC, Securities Industry and Financial Markets Association (SIFMA), Securities Operations, Standards, wall street

‘Project Pine’ Explores Central Bank Ops & Tokenization

May 28, 2025 by Eugene Grygo

‘Project Pine’ Explores Central Bank Ops & Tokenization

As U.S. regulators explore new guardrails for digital assets, the Federal Reserve Bank of New York and the Bank for International Settlements (BIS) based in Basel, Switzerland, have been experimenting with tokenization. The New York Fed and BIS have completed an initial exploration of how central banks could run monetary policy operations in a world… Read More >>

Filed Under: Collateral & Margin Management, Securities Operations, Back Office, Data Management, FX Operations, Hedge Fund Operations, Operational Risk, Blockchain/DLT, Standards, Opinion, Minding the Gap, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: Bank of International Settlements (BIS), central banking, monetary policy, NY Fed, Securities Operations, smart contracts, The New York Fed, tokenization, wall street

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