Financial Technologies Forum, LLC

Financial Technologies Forum, LLC Financial Technologies Forum, LLC (FTF) is a leading provider of executive-level conferences and training seminars focused on trends and initiatives in securities trading and operations.
Financial Technologies Forum, LLC (FTF) is a leading provider of executive-level events and training focused on trends and initiatives in securities trading and operations. Our global client base consists of senior level securities professionals from over 30 countries. Our online newsletter offers a global interactive community where professionals can find original editorial content, daily news, in-depth analysis and industry research. Our news content enhances our offering of events and training with timely coverage that reflects our market focus on clearing & settlement, corporate actions processing, risk management, performance measurement, reconciliation & exceptions management, regulation & compliance, derivatives operations, hedge fund operations and enterprise operations.

FTF is a Wall Street media company specializing in securities operations, technology and regulation. We offer content pertaining to challenges currently facing middle- and back-office professionals in capital markets. We help keep our clients informed about current trends and requirements and act as a network to help connect them to their peers through daily content posted on FTF News, niche industry conferences, training seminars, webinars, and video interviews, to name a few. We also help financial technology providers increase lead generation, brand awareness and thought leadership.

Mission: We produce well organized, quality events that deliver high level content from the industry's leading experts. It is our mission to provide solutions to current industry challenges while delivering excellent customer service. Our goal is to provide a forum for Wall Street to comment and build lasting relationships.

The SEC’s FinHub is hosting a free forum on May 31 to explore the regulatory impacts of distributed ledger technology ...
04/25/2019
SEC Explores Impacts of Digital Assets at Forum | FTF News

The SEC’s FinHub is hosting a free forum on May 31 to explore the regulatory impacts of distributed ledger technology and digital assets.

The SEC’s FinHub is hosting a free forum on May 31 to explore the regulatory impacts of distributed ledger technology and digital assets.

Excited to have Ed Corral speak on the "The Tri-Party Collateral Puzzle" session at FTF DerivOps North America. Join us ...
04/24/2019

Excited to have Ed Corral speak on the "The Tri-Party Collateral Puzzle" session at FTF DerivOps North America. Join us on May 6-7: https://buff.ly/2ZsyxuZ

The SEC’s Office of Compliance Inspections and Examinations has found cybersecurity and privacy deficiencies among tra...
04/23/2019
OCIE Exams Uncover Cybersecurity & Privacy Weaknesses | FTF News

The SEC’s Office of Compliance Inspections and Examinations has found cybersecurity and privacy deficiencies among trading firms and has issued a risk alert.

The SEC’s Office of Compliance Inspections and Examinations has found cybersecurity and privacy deficiencies among trading firms and has issued a risk alert.

FINRA is considering a pilot program that would change the way firms disseminate data about their block trading of corpo...
04/17/2019
Block Bond Trades Could Get Data Sharing Overhaul | FTF News

FINRA is considering a pilot program that would change the way firms disseminate data about their block trading of corporate bonds.

FINRA is considering a pilot program that would change the way firms disseminate data about their block trading of corporate bonds.

Machine learning and AI are becoming competitive advantages for the buy side, according to a new survey from Refinitiv.
04/09/2019
Bad Data Impedes Machine Learning’s Progress: Survey | FTF News

Machine learning and AI are becoming competitive advantages for the buy side, according to a new survey from Refinitiv.

Bad data is hampering the progress of machine learning (ML), a subset of artificial intelligence, as it gains ground at financial services firms, particularly

The upstart asset manager for alternatives will use the cash infusion to advance its proprietary AI and to offer more in...
04/03/2019
Pagaya Raises $25 Million in Series C Funding | FTF News

The upstart asset manager for alternatives will use the cash infusion to advance its proprietary AI and to offer more instruments.

The upstart asset manager for alternatives will use the cash infusion to advance its proprietary AI and to offer more instruments.

FINRA is asking the SEC if it can expand TRACE to serve as the centralized source for new-issue reference data for corpo...
04/02/2019
Time to Centralize Reference Data for Corporate Bonds? | FTF News

FINRA is asking the SEC if it can expand TRACE to serve as the centralized source for new-issue reference data for corporate bonds

FINRA is asking the SEC if it can expand TRACE to serve as the centralized source for new-issue reference data for corporate bonds

The SEC, FCA and CFTC are trying to ease the regulatory burdens that a hard Brexit will mean for global markets and part...
04/02/2019
Regulators Brace for Impacts of a Hard Brexit | FTF News

The SEC, FCA and CFTC are trying to ease the regulatory burdens that a hard Brexit will mean for global markets and participants.

The SEC, FCA and CFTC are trying to ease the regulatory burdens that a hard Brexit will mean for global markets and participants.

Tapping Nasdaq for its core technology and operational services, the Deutsche Bank plans to launch a new U.S. SDP by the...
03/29/2019
Deutsche Bank Slates Single-Dealer Platform for U.S. | FTF News

Tapping Nasdaq for its core technology and operational services, the Deutsche Bank plans to launch a new U.S. SDP by the third quarter.

Tapping Nasdaq for its core technology and operational services, the German banking giant plans to launch a new U.S. SDP by the third quarter.

Goldman Sachs settles with a U.K. regulator over 220 million erroneous transaction reports filed over nearly a decade.
03/29/2019
Goldman Sachs Fined $45M via MiFID Reporting Case | FTF News

Goldman Sachs settles with a U.K. regulator over 220 million erroneous transaction reports filed over nearly a decade.

Goldman Sachs settles with a U.K. regulator over 220 million erroneous transaction reports filed over nearly a decade.

The ISITC standards and best practices trade group has honored Genevy Dimitrion with its Standard of Excellence Award.
03/28/2019
ISITC Honors Genevy Dimitrion | FTF News

The ISITC standards and best practices trade group has honored Genevy Dimitrion with its Standard of Excellence Award.

The ISITC standards and best practices trade group has honored Genevy Dimitrion with its Standard of Excellence Award

Excited to have Duco as a sponsor at this year's DerivOps North America conference in Chicago, May 6-7th. Join us: https...
03/28/2019

Excited to have Duco as a sponsor at this year's DerivOps North America conference in Chicago, May 6-7th. Join us: https://buff.ly/2CHN3oF

A report from Corruption Watch, a London-based NGO, has found that U.S. regulators are far ahead of their U.K. counterpa...
03/28/2019
U.S. Leads U.K. in Regulating Financial Crime: Report | FTF News

A report from Corruption Watch, a London-based NGO, has found that U.S. regulators are far ahead of their U.K. counterparts in regulating financial crime.

A report from Corruption Watch, a London-based NGO, has found that U.S. regulators are far ahead of their U.K. counterparts in regulating financial crime.

Join Julian Trostinsky of Duco on April 4th for a complimentary webinar on how your firm can improve its reconciliation ...
03/27/2019
Webinar - Reconciliation Best Practices

Join Julian Trostinsky of Duco on April 4th for a complimentary webinar on how your firm can improve its reconciliation processes and establish best practices. Register now:

Join Julian Trostinsky, Duco's VP of Global Services, for an expert view on reconciliation best practices. Find out how to improve your reconciliation processes.

In a Q&A, Jon Anderson, global head of valuations and GoTrade+ trade processing solutions at SS&C GlobeOp, answers quest...
03/26/2019
How to Cope With UMR Compliance: Q&A | FTF News

In a Q&A, Jon Anderson, global head of valuations and GoTrade+ trade processing solutions at SS&C GlobeOp, answers questions about UMR compliance from FTF News.

In a Q&A, Jon Anderson, global head of valuations and GoTrade+ trade processing solutions at SS&C GlobeOp, answers questions about UMR compliance from FTF News.

Buy-side firms shift loyalties as they improve their monitoring of broker-dealer performance and embrace execution facto...
03/26/2019
Loyalty Erodes As Buy Side Rethinks Broker-Dealers | FTF News

Buy-side firms shift loyalties as they improve their monitoring of broker-dealer performance and embrace execution factors that boost profitability.

Buy-side firms shift loyalties as they improve their monitoring of broker-dealer performance and embrace execution factors that boost profitability.

IPC Systems is launching a partnership with newcomer Omniex that facilitates the trading of digital assets.
03/21/2019
IPC Extranet Links to Crypto-Trading Gateway | FTF News

IPC Systems is launching a partnership with newcomer Omniex that facilitates the trading of digital assets.

IPC Systems is launching a partnership with newcomer Omniex that facilitates the trading of digital assets.

Excited to have Jacob Gertel of SIX speak on the "Getting Ready for the Global Tax Burden" session at our upcoming compl...
03/21/2019
Optimizing Data for Global Tax Compliance

Excited to have Jacob Gertel of SIX speak on the "Getting Ready for the Global Tax Burden" session at our upcoming complimentary tax compliance and operations event. Register today for your free pass:

In a bid to eliminate tax evasion, regulators across the globe have increased the tax burdens on financial services firms. For example, in the U.S., the IRS’s Internal Revenue Code (IRC) Section 871(m) requires non-U.S. persons to withhold taxes on dividend payments via financial derivatives.

The U.K.’s Financial Conduct Authority (FCA) has fined the Swiss banking giant for transaction reporting errors that s...
03/21/2019
UBS Fined $36M for MiFID I Reporting Errors | FTF News

The U.K.’s Financial Conduct Authority (FCA) has fined the Swiss banking giant for transaction reporting errors that stretched over nearly a decade.

The U.K.’s Financial Conduct Authority (FCA) has fined the Swiss banking giant for transaction reporting errors that stretched over nearly a decade.

Performance Measurement Americas 2019
03/19/2019

Performance Measurement Americas 2019

As Brexit looms, EuroCCP gets approval to offer post-trade services for the E.U.-based entities of Aquis Exchange, Cboe ...
03/19/2019
EuroCCP Readies Post-Brexit Clearing for Three Venues | FTF News

As Brexit looms, EuroCCP gets approval to offer post-trade services for the E.U.-based entities of Aquis Exchange, Cboe Europe Equities, and the Turquoise MTF.

As Brexit looms, EuroCCP gets approval to offer post-trade services for the E.U.-based entities of Aquis Exchange, Cboe Europe Equities, and the Turquoise MTF.

Join us on April 4th for this complimentary half-day seminar, where we will help firms make sense of the global tax Matr...
03/15/2019

Join us on April 4th for this complimentary half-day seminar, where we will help firms make sense of the global tax Matrix and better harness the data they need for global compliance. Find out more: https://buff.ly/2HnArqC

The firm has settled with the SEC over charges that it failed to supervise a registered representative allegedly involve...
03/15/2019
Wedbush Settles Supervisory Failure Charges for $250K | FTF News

The firm has settled with the SEC over charges that it failed to supervise a registered representative allegedly involved in a pump-and-dump scheme.

The firm has settled with the SEC over charges that it failed to supervise a registered representative allegedly involved in a pump-and-dump scheme.

In a new white paper, the DTCC points out the post-trade responsibilities needed to build market confidence in security ...
03/14/2019
DTCC Proposes Post-Trade Framework for Token Platforms | FTF News

In a new white paper, the DTCC points out the post-trade responsibilities needed to build market confidence in security token platforms.

In a new white paper, the DTCC points out the post-trade responsibilities needed to build market confidence in security token platforms.

David Scola, SWIFT’s head of North America, will tackle the impacts of cutting-edge IT upon securities operations and ...
03/06/2019
ISITC to Scrutinize Disruptive IT at Spring Summit | FTF News

David Scola, SWIFT’s head of North America, will tackle the impacts of cutting-edge IT upon securities operations and best practices.

David Scola, SWIFT’s head of North America, will tackle the impacts of cutting-edge IT upon securities operations and best practices.

Excited to have SS&C sponsor #FTFPMA 2019!  Join us on March 11-12. Register today ➡ https://buff.ly/2UjNCM5
03/06/2019

Excited to have SS&C sponsor #FTFPMA 2019! Join us on March 11-12. Register today ➡ https://buff.ly/2UjNCM5

The U.S. regulator and its U.K. counterparts recently announced a working legal framework to provide continuity for deri...
03/05/2019
CFTC, U.K. Build a Regulatory Bridge Over Brexit | FTF News

The U.S. regulator and its U.K. counterparts recently announced a working legal framework to provide continuity for derivatives after Brexit.

The U.S. regulator and its U.K. counterparts recently announced a working legal framework to provide continuity for derivatives after Brexit.

The global custodian has promoted a 30-Year industry veteran, Lou Maiuri, to oversee technology, operations, product and...
03/05/2019
State Street’s New COO to Oversee CRD Integration | FTF News

The global custodian has promoted a 30-Year industry veteran, Lou Maiuri, to oversee technology, operations, product and innovation responsibilities.

The global custodian has promoted a 30-Year industry veteran, Lou Maiuri, to oversee technology, operations, product and innovation responsibilities.

This year's Performance Measurement Americas conference is only 1 week away and we are almost sold out! Don’t miss you...
03/04/2019

This year's Performance Measurement Americas conference is only 1 week away and we are almost sold out! Don’t miss your opportunity to hear from 35+ senior-level experts and engage in discussions with 180+ peers. Register today at https://buff.ly/2TpbeSz

With the buy side in mind, the new partnership is intended to yield “actionable signals” that could be useful for in...
03/01/2019
Lucena to Apply A.I. to Wall Street Horizon’s Data | FTF News

With the buy side in mind, the new partnership is intended to yield “actionable signals” that could be useful for investment decisions.

With the buy side in mind, the new partnership is intended to yield “actionable signals” that could be useful for investment decisions.

The SRO will be replacing Thesys Technologies as the plan processor for the big data consolidated audit trail (CAT) surv...
03/01/2019
FINRA Named as the New CAT Operator | FTF News

The SRO will be replacing Thesys Technologies as the plan processor for the big data consolidated audit trail (CAT) surveillance system.

The SRO will be replacing Thesys Technologies as the plan processor for the big data consolidated audit trail (CAT) surveillance system.

The move will bring together Weeden’s agency execution support for equities with Piper’s research sales platform.
02/28/2019
Piper Jaffray Will Acquire Weeden & Co. | FTF News

The move will bring together Weeden’s agency execution support for equities with Piper’s research sales platform.

The move will bring together Weeden’s agency execution support for equities with Piper’s research sales platform.

Meet the panelists on the "Making the Case For More Resources" session at the upcoming FTF Performance Measurement Ameri...
02/28/2019

Meet the panelists on the "Making the Case For More Resources" session at the upcoming FTF Performance Measurement Americas conference. They will provide guidance on how to build a case for more investments in personnel. Join us too: https://buff.ly/2EnbO9G

The bank has set aside $900 million to cover the fines and penalties that may come via probes of its FX trading practice...
02/28/2019
Standard Chartered Braces for Probes of FX Practices | FTF News

The bank has set aside $900 million to cover the fines and penalties that may come via probes of its FX trading practices.

The bank has set aside $900 million to cover the fines and penalties that may come via probes of its FX trading practices.

Finding a clear consensus among economists about whether and when there might be an economic recession is mostly impossi...
02/27/2019
Navigating Nervous Markets Without Clarity | FTF News

Finding a clear consensus among economists about whether and when there might be an economic recession is mostly impossible as the results from a recent survey underscore.

Eugene Grygo, Chief Content Officer, FTF News To say the least, there is a great deal of nervousness about the economy and, particularly, the “R” word. If

Meet the experts speaking on the "The New Burdens of ETFs" panel at FTF PMA 2019, March 11-12th. For details, visit http...
02/26/2019

Meet the experts speaking on the "The New Burdens of ETFs" panel at FTF PMA 2019, March 11-12th. For details, visit https://buff.ly/2Tl0CE7

The CFTC entered a preliminary injunction via the U.S. District Court for the Southern District of Texas against an alle...
02/26/2019
Social Media Played Role in Alleged FX Scam | FTF News

The CFTC entered a preliminary injunction via the U.S. District Court for the Southern District of Texas against an alleged FX trading scam.

The CFTC entered a preliminary injunction via the U.S. District Court for the Southern District of Texas against an alleged FX trading scam.

External conditions could cause firms to double the initial margin (IM) posted for derivatives trading, according to a n...
02/22/2019
Initial Margin Levels Could Soar via Volatility: Report | FTF News

External conditions could cause firms to double the initial margin (IM) posted for derivatives trading, according to a new report from OpenGamma.

External conditions could cause firms to double the initial margin (IM) posted for derivatives trading, according to a new report from OpenGamma.

Meet the experts speaking on the "Optimizing Quality Control for Data" panel at #FTFPMA 2019, March 11-12th. For details...
02/22/2019

Meet the experts speaking on the "Optimizing Quality Control for Data" panel at #FTFPMA 2019, March 11-12th. For details, visit https://buff.ly/2SY8UlV

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