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.

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.

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.

Operating as usual

CAT Reporting Lessons: Sell-side firms need error rates approaching perfection when they are engaged in CAT reporting — ...
01/03/2021
Sell Side Learns a Few CAT Reporting Lessons | FTF News

CAT Reporting Lessons: Sell-side firms need error rates approaching perfection when they are engaged in CAT reporting — a key takeaway from the webinar, “Are You Ready for Interfirm CAT Linkage?” http://bit.ly/38bKknQ Coverage via FTFNews.

Despite the pandemic, sell-side firms in 2020 met a very challenging first-round of compliance with the Consolidated Audit Trail (CAT) trade data surveillance

Our free FinTech news roundup includes the Northern Trust news below & covers Steele’s acquisition of info4c, new hires ...
12/17/2020
Northern Trust to Help Launch Crypto Custody Service | FTF News

Our free FinTech news roundup includes the Northern Trust news below & covers Steele’s acquisition of info4c, new hires at RIMES, money flowing into Pico, and an HR exec change at BNP Paribas in the Americas: http://bit.ly/3nv04Ye via FTF News online.

Standard Chartered’s VC Unit Partners with Northern Trust Standard Chartered via SC Ventures and custodian Northern Trust are launching an “institutional

Our free FinTech roundup covers DTCC’s purchase of Sapient CMRS, Janus Henderson’s picks for transfer agency services, a...
12/09/2020
DTCC Acquires Sapient’s Compliance Reporting Platform | FTF News

Our free FinTech roundup covers DTCC’s purchase of Sapient CMRS, Janus Henderson’s picks for transfer agency services, an update on ISITC’s board & the newly named RBC Clearing & Custody: https://bit.ly/39XnAcy

DTCC to Add Sapient's CMRS to Report Hub Post-trade systems and services vendor DTCC has acquired a platform for compliance management reporting, dubbed the

The tide is turning against enterprise-wide data management systems & big data warehouses, says Andrew Barnett at RIMES ...
12/09/2020

The tide is turning against enterprise-wide data management systems & big data warehouses, says Andrew Barnett at RIMES via a free FTF Exchange podcast. In fact, Barnett says that firms are trending toward hosted & managed options: https://bit.ly/2Iuvleq

Sanctions expert Max Lerner provides insight into how financial services firms are coping with a flood of U.S. sanctions...
12/08/2020

Sanctions expert Max Lerner provides insight into how financial services firms are coping with a flood of U.S. sanctions against China & other countries: Check out our Free FTF Exchange Podcast at https://bit.ly/3qJc62j

WINTER HOLIDAY GADGETS: I have found some interesting gadgets to creatively distract us during the lockdown: Roku update...
12/07/2020

WINTER HOLIDAY GADGETS: I have found some interesting gadgets to creatively distract us during the lockdown: Roku updates, including its embrace of HBO Max, special cases for smartphones & a vinyl turntable that works with the Bluetooth standard: https://bit.ly/3lTVRMb

The free FTF News roundup covers: a warning about using USD LIBOR beyond Dec. 31, 2021; JPMorgan Asset Management & 55ip...
12/05/2020
Key Regulators Issue USD LIBOR Warning | FTF News

The free FTF News roundup covers: a warning about using USD LIBOR beyond Dec. 31, 2021; JPMorgan Asset Management & 55ip; 2 RFIs for climate change research from Calpers; and a new chairman for Credit Suisse Group: https://bit.ly/2VGAFyj

Authorities: Steer Clear of USD LIBOR Key industry regulators are warning financial services firms not to use U.S. dollar (USD) LIBOR as a reference rate

Tomorrow is the deadline to apply for the 2021 FinTech Innovation Lab New York program. FinTech entrepreneurs work with ...
11/30/2020
NYC’s FinTech Innovation Lab Forges Ahead! | FTF News

Tomorrow is the deadline to apply for the 2021 FinTech Innovation Lab New York program. FinTech entrepreneurs work with professionals in banking, insurance & asset management. The collaboration yields disruptive technologies to jumpstart financial services: https://bit.ly/37gCmYK

Grygo is the chief content officer for FTF. While we are mired in Zoom and gloom because of pandemic-induced partial or full lockdowns, it is comforting to

A-List Business Execs in NYC have sent a letter to Trump urging that he move ahead with the transition: “The attention a...
11/30/2020
Wall Street Execs Want Trump Transition to Start | FTF News

A-List Business Execs in NYC have sent a letter to Trump urging that he move ahead with the transition: “The attention and energy of public and private sector leaders should be entirely focused on uniting our country to fight the coronavirus .." Basically, they are arguing for a reset of national priorities: https://bit.ly/3mpfKvE

Grygo is the chief content officer for FTF. A letter sent to the Trump administration from New York City’s A-List business leaders, including many from top

The DTCC is making its case via a new survey that the mutualized operations model can cut Ops costs by 20% or better for...
11/30/2020
Mutualized Ops Automation Cuts Costs by 20%: DTCC | FTF News

The DTCC is making its case via a new survey that the mutualized operations model can cut Ops costs by 20% or better for SSI reference data; trade support; prime brokerage fees; settlements; IT expenses; and more https://bit.ly/39nJ1mF

Post-trade systems and services provider DTCC is making its case for the cost-cutting value of mutualized, automated securities operations after surveying nine

Some issues cannot wait such as the existential threat of climate change. NYS DFS Superintendent Linda Lacewell wants ba...
11/13/2020
Climate Change Puts Banks at Risk: NYS DFS | FTF News

Some issues cannot wait such as the existential threat of climate change. NYS DFS Superintendent Linda Lacewell wants banks to take the implications of climate change from crypto-currency mining to dire physical risks, seriously. In a letter transmitted to all New York-regulated financial services organizations, Lacewell outlined “expectations related to addressing climate risks,” which she categorizes as either “physical and transition risks:” https://bit.ly/2Iwt7LI

Linda A. Lacewell “Climate change is happening now, and we have to take steps to manage the financial risks now,” says Linda A. Lacewell, the superintendent

It’s been hard to have a sense of humor this year. So, for Halloween (and beyond), we suggested costumes that mock harsh...
11/05/2020

It’s been hard to have a sense of humor this year. So, for Halloween (and beyond), we suggested costumes that mock harsh realities such as: The Lockdown, The Blursday, The Zoom & Gloom Fatigue Mask & the Remote Worker. Keep laughing if you can: https://bit.ly/3ejO6gk

Goldman Sachs is admitting guilt and paying a fine of $2.9 billion for its role in a scandal that saw officials from the...
10/29/2020
Goldman Sachs Admits Guilt in Foreign Bribery Case | FTF News

Goldman Sachs is admitting guilt and paying a fine of $2.9 billion for its role in a scandal that saw officials from the firm bribing Malaysian and Abu Dhabi officials from 2009 to 2014 to secure ongoing business for the multinational investment bank. Check out our in-depth coverage: https://bit.ly/3mhVag2

Goldman Sachs is admitting guilt and paying a fine of $2.9 billion for its role in a scandal that saw officials from the firm bribing Malaysian and Abu Dhabi

In an FTF Exchange podcast, Corinne Neale at BNY Mellon reveals that cutting-edge IT still fascinates her because of the...
10/26/2020

In an FTF Exchange podcast, Corinne Neale at BNY Mellon reveals that cutting-edge IT still fascinates her because of the answers it provides to problems ahead for the industry. Neale won the FinTech Person of the Year award for 2020, a key category the FTF News Technology Innovation Awards competition: https://bit.ly/2G00bKI

Check out our Free FinTech roundup: Finanstra & CloudMargin partner for collateral management, Allianz turns to SS&C's S...
10/26/2020
Finastra & CloudMargin Launch Collateral Management Service | FTF News

Check out our Free FinTech roundup: Finanstra & CloudMargin partner for collateral management, Allianz turns to SS&C's Sylvan, FactSet buys Truvalue Labs, ACA Aponix launches a cybersecurity offering & TORA links to MTS BondsPro: https://bit.ly/2TplTuD

Finastra’s FusionFabric.cloud Links to CloudMargin Financial services systems vendor Finastra is partnering with CloudMargin, a collateral and margin

HARDWARE & DATA SECURITY: Morgan Stanley will pay a $60M penalty to resolve charges that two of its wealth management un...
10/20/2020
Morgan Stanley Fined $60M for Data Security Problems | FTF News

HARDWARE & DATA SECURITY: Morgan Stanley will pay a $60M penalty to resolve charges that two of its wealth management units mismanaged the disposal of data center hardware in 2016 & "wide area application services devices” last year: Get the full story: https://bit.ly/31h4lVS

Morgan Stanley will pay a civil monetary penalty of $60 million to resolve charges via the Office of the Comptroller of the Currency (OCC) that the firm’s

FTF News spoke to Travis Schwab, CEO of Eventus, about regulatory actions to stop “spoof orders.” Regulators hit JPMorga...
10/18/2020
Spoofing is Fraud & Erodes Investor Trust: Q&A | FTF News

FTF News spoke to Travis Schwab, CEO of Eventus, about regulatory actions to stop “spoof orders.” Regulators hit JPMorgan with a recent record $920M fine & authorities convicted two former traders at Deutsche Bank for spoofing: https://bit.ly/3k5EszV

Travis Schwab (FTF News reached out to Travis Schwab, CEO of Eventus, based in Austin, Texas, to check in with him about regulatory actions to stop false

Check out a FREE video chat via FTF News: Part One with Dave Allen, project manager for NRI America & Larry Zywicki, dir...
10/18/2020

Check out a FREE video chat via FTF News: Part One with Dave Allen, project manager for NRI America & Larry Zywicki, director for Beta solutions at Refinitiv, about the integration of post-trade systems: NRI’s I-Star/GX software w/Refinitiv’s Beta: https://bit.ly/2H5LINz

Citigroup Inc. has launched “significant remediation projects” to bolster risk management controls in response to the Fe...
10/12/2020
Regulators Discipline Citigroup Over Risk Management Defects | FTF News

Citigroup Inc. has launched “significant remediation projects” to bolster risk management controls in response to the Fed & OCC issuing consent orders to fix many key banking practices in need of repair: https://bit.ly/36KN7E9

Citigroup Inc. has launched “significant remediation projects” to bolster its risk management controls, infrastructure, and governance as a result of two

Many hedge fund managers are concerned about burnout among remote-working staff as firms try to figure out the recovery ...
10/07/2020
Hedge Funds Fear Burnout for Remote Staffs: Survey | FTF News

Many hedge fund managers are concerned about burnout among remote-working staff as firms try to figure out the recovery and return phases of a global pandemic that's getting worse. These are some of the major findings via a report from KPMG & the AIMA: Minding the Gap: https://bit.ly/33Esgk0

Grygo is chief content officer for FTF. Many hedge fund managers expect clarity will come in 2021 for a real recovery from the pandemic-induced downturn, and

Tokyo Stock Exchange trading halt, GLEIF’s new role for banks, news from Krungsri & Murex, Jeff Gooch at Quorsus & Schro...
10/02/2020

Tokyo Stock Exchange trading halt, GLEIF’s new role for banks, news from Krungsri & Murex, Jeff Gooch at Quorsus & Schroders embraces SteelEye: HOT FREE BRIEFS: https://bit.ly/2HSO0jx via FTF News

09/30/2020
Whitepaper Download: New Reality, New Lessons

[Whitepaper Download] Times of crisis can test the processes of the best financial firms, exposing inefficiencies and weaknesses. It's also a great time to reevaluate systems and processes and establish improvements going forward. If you haven't done so already, download this whitepaper to find out how your firm can overcome data and multi-asset class challenges to build resilience in the new world we live in, lessons learned from the pandemic, and what your firm needs to do going forward. Click here to download: https://lnkd.in/djYdruc

#FTFNews #posttrade #capitalmarkets #ftfdigital #fintechnews #securitiesoperations #SimCorp #STP #datamanagement #enterpriseriskmanagement #operationalrisk #consolidation

FTF & FTF News have chosen Maria Gotsch, president and CEO of the Partnership Fund for New York City, as the 2020 recipi...
09/26/2020

FTF & FTF News have chosen Maria Gotsch, president and CEO of the Partnership Fund for New York City, as the 2020 recipient of the Editor’s Choice award for her achievements via the FinTech Innovation Lab: Maria provides insights about her journey via a Q&A: https://bit.ly/2GfA8ig

Got the UMR Blues? Binge a little & you’ll feel better. Check out the Uncleared Margin Rule & collateral management cove...
09/23/2020
marketing.ftfnews.com

Got the UMR Blues? Binge a little & you’ll feel better. Check out the Uncleared Margin Rule & collateral management coverage via FTF News. From our story on a State Street survey https://bit.ly/35M6uMn to a cornucopia of content: https://bit.ly/3k2KFfy

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WalI Street standards group ISITC has named Karla McKenna as the 2020 recipient of the ISITC Standard of Excellence Awar...
09/18/2020

WalI Street standards group ISITC has named Karla McKenna as the 2020 recipient of the ISITC Standard of Excellence Award for her efforts to help standardize securities trading operations. McKenna received the award during ISITC Week. Full story at FTF News: https://bit.ly/306CaZx Congrats to Karla!

Our free FinTech update covers: Nasdaq & Caspian’s automated AML investigator, Oppenheimer &  InvestCloud, Qontigo's ESG...
09/18/2020
Nasdaq & Caspian Take On Automated AML Investigations | FTF News

Our free FinTech update covers: Nasdaq & Caspian’s automated AML investigator, Oppenheimer & InvestCloud, Qontigo's ESG hire, and new execs at Copper Technologies: https://bit.ly/2RGMZMZ via FTF News.

Nasdaq Sytem Targets Gap in AML Inquiries Nasdaq just launched a “cloud-deployed” anti-money laundering (AML) system, the Nasdaq Automated Investigator for

Trading Ops teams passed a major test during the pandemic lockdown, says Eric Aldous, managing director, head of futures...
09/18/2020

Trading Ops teams passed a major test during the pandemic lockdown, says Eric Aldous, managing director, head of futures at RBC Capital Markets in NYC. He took part in a new FTF Exchange podcast: https://bit.ly/3iMNbX1 via FTF News

Jane Fraser will succeed Citi CEO Michael Corbat following his retirement in February 2021. Her appointment was hailed o...
09/18/2020

Jane Fraser will succeed Citi CEO Michael Corbat following his retirement in February 2021. Her appointment was hailed on Wall Street, but not every observer was equally impressed by the fact of a woman at the helm of a big Wall Street bank: https://bit.ly/32HT4PN

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Financial Services Firms Need Collaboration to Keep Up: Firms that resist collaboration internally and among vendors will get left behind amid a fast-moving financial technology landscape, Mark Bolton, head of international sales for Gresham Technologies tells FTF News:
ABN AMRO Clearing Chicago, a broker-dealer of the Dutch banking giant will pay more than $586,000 to resolve charges that it improperly handled pre-released American Depositary Receipts (ADRs):
Clients want transparency when they give their money to investment firms, says Justin Thompson, director on the client advisory team of Tolleson Wealth Management. This became clear when the firm moved from a paper-based system to automation:
FTF NEWS VIDEO:
The Justice Department has reached a settlement in its civil forfeiture cases against Low Taek Jho, aka Jho Low, and his family: http://bit.ly/36E7W1x at FTF News
An online story via Vanity Fair by William D. Cohan focuses on major securities transactions that benefitted from the president’s tweeting habits. While there is no evidence of tweet-related collusion, Raymond James analysts speculate about a low-to-no-tweet Mike Pence presidency if Trump steps down:
CONGRATS TO ALL THE NOMINEES:
Two SocGen Bankers Face Libor-Rigging Charges: