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 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 on May 6-7: https://buff.ly/2ZsyxuZ
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 corporate bonds.
FINRA is considering a pilot program that would change the way firms disseminate data about their block trading of corporate bonds.
The French bank is adjusting key business lines and operations to jolt the bottom line.
The French bank is adjusting key business lines and operations to jolt the bottom line.
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 DLT pioneer is open sourcing the source code and software development kit for the Digital Asset Modeling Language.
The DLT pioneer is open sourcing the source code and software development kit for the Digital Asset Modeling Language.
An ISITC panel on AI and robotics reports that the old rules apply when firms embrace disruptive IT.
An ISITC panel on AI and robotics reports that the old rules apply when firms embrace disruptive IT.
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.
The firm has settled with the SEC over charges that it improperly borrowed pre-released ADRs from other brokers.
The firm has settled with the SEC over charges that it improperly borrowed pre-released ADRs from other brokers.
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 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 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.
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.
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://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. 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 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 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 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.
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 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 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
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 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 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 token platforms.
In a new white paper, the DTCC points out the post-trade responsibilities needed to build market confidence in security token platforms.
The SRO has fined the investment bank and brokerage for alleged violations of the SEC’s Regulation SHO.
The SRO has fined the investment bank and brokerage for alleged violations of the SEC’s Regulation SHO.
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.
The services provider for non-cleared derivatives is adding initial margin monitoring to its offerings.
The services provider for non-cleared derivatives is adding initial margin monitoring to its offerings.
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 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 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 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 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) 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.
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 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 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 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 https://buff.ly/2Tl0CE7
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 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, visit https://buff.ly/2SY8UlV
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FTF News editor, Eugene Grygo, sits down with Haytham Kaddoura, CEO of SmartStream Technologies Group to discuss how banks and other financial services firms are more willing to test new technologies than in years past, and how this development is giving him new hope. https://www.ftfnews.com/video/hot-it-trends-give-smartstreams-ceo-new-hope
Let’s talk about Collateral, margining and derivatives! Oh my! It’s FTF’s CMD Ops 2017 conference today! #FTFCMDops
FTF News editor, Eugene Grygo sat down with Christopher Bowen, CCO at New Amsterdam Partners, at FTF's recent Performance Measurement Americas 2017 conference in NYC to chat about one of the biggest challenges that securities firms face - producing bullet-proof performance measurement data to be used in advertisements.
Get today's top news headlines at www.ftfnews.com #FATCA #compliance #textmessaging #fintech #datamanagement
Get updated on today's top news for March 21, 2017 with FTF! www.ftfnews.com #GLEIF #LEI #SaaS #cloudcomputing #collateralmanagement #derivativesprocessing #derivops #derivatives #automation #GMEI
Take a moment to catch up on today's top FTF News! www.ftfnews.com Top Headlines: Bonuses Lag Behind Profits for NYC-Based Firms RCG Picks a President for Structured Products MiFID II Shakes Sell-Side Research to its Core
Check out today's top news at buff.ly/2nlbNgr Top Headlines: European Elections Could Decide the #EU Fate, @HSBC Hires Group Chairman as Group CEO to Retire, Bharara Leaves Legacy of Taking on Titans
Check out today's top FTF News at http://buff.ly/2ldlUz9 Morgan Stanley Penalized Again for Improper ETF Sales LiquidityBook Lands Three Hedge Funds for POEMS SEI Picks Milestone Group Platform for OCIO Business
Check out today's top FTF News at buff.ly/2lvjJrN Time to Hit the Brakes on the Blockchain Hype? Has the Fiduciary Rule Already Done Some Good? FTF Awards Completes Nominations Process
Take a peak into Today's Top FTF News at www.ftfnews.com! News from Fortress Investment Group, SoftBank, Colt Technology Services & Open Door Trading Company
Get a taste of this week's top news at www.ftfnews.com and take advantage of our amazing Valentine's promo - subscribe to FTF Premier News access for your 1st year for only $5! Never miss out on the latest news again - use code LOVE5 until Friday, Feb. 17th at https://www.ftfnews.com/#show-pricing
Take a look at all the new speakers who have been recently confirmed for SecOps North America 2017! See a full rundown of the speaker panels online at https://www.ftfnews.com/event/ftf_securities_operations_technology_conference
Here's a Quick Rundown of Your Top News for Today, February 9th.
Catch up on today's top FTF News at www.ftfnews.com - all of today's featured news is accessible for FREE to everyone, not just FTF Premier members!
Read today's latest news - from reconciliations to GIPS to hedge fund investment allocation...
Check out this week's latest news on Trump's travel ban, Brexit, Deutsche Bank fined, Loomis Sayles new cloud-based corporate actions platform & margining deadlines at www.ftfnews.com
Excited to welcome Maryse Gordon from UnaVista to speak at FTF DerivOps North America, May 1-2. Join us: https://www.ftfnews.com/event/derivops-north-america
Bill Provides Next Rocky Chapter for Brexit https://www.ftfnews.com/bill-provides-next-rocky-chapter-for-brexit/16039
Video Interview: Buy- and sell-side firms can be highly successful when they stretch the FIX protocol beyond the front office, says FIX protocol pioneer and advocate Scott Atwell, who is the manager for FIX trading and connectivity at American Century Investments. http://buff.ly/2aZItmc
Mal Cullen, the CEO of Eagle Investment Systems, discussed the key operations data management issues on the horizon such as Eagle’s ongoing reinvestment in its platforms to make certain that they feature state-of-the-art IT and offer updated regulatory support. http://buff.ly/2atYu5i
Video Interview with Terry Flynn, senior sales manager for SimCorp, from the FTF News Technology Innovation Awards as he discusses the SimCorp IBOR vantage point.
In an interview at the FTF News Awards gala on May 17, Bill Blythe, global business development director for Gresham, took questions from FTF News. Blythe argues that Gresham’s clients share a vision with the vendor about the need for #disruptivetechnologies that deliver on the promise of data integrity, which is essential for regulatory compliance and which brings fresh options to a stale market.
In this video interview from the FTF News Technology Innovation Awards this past May, Philippe Chambadal of SmartStream discusses what he thinks is the firm’s biggest achievement for 2015 and where the provider is headed. http://buff.ly/29OgjKO
With all the changes that are taking place in derivatives trading and processing, the easiest way for firms to streamline their clearing operations is to think twice about the products they’re trading, says James Koutoulas, CEO of Typhon Capital Management
Petal Walker, chief counsel for CFTC - U.S. Commodity Futures Trading Commission Commissioner Sharon Bowen recently sat down with FTF News and discussed whether the CFTC has enough resources and tools to fully review and police the #derivatives market.
Performance reporting is at the heart of performance measurement disciplines and it is a part of the ongoing debate between a securities firm buying technology or building a system, says Paul DeMello, director of investment risk, BNP Paribas. DeMello spoke to FTF News during the Performance Measurement Americas 2016 conference that took place March 10...
Institutions and governmental authorities often require performance reporting based upon GIPS, which call for greater transparency into the results from investment managers. In addition to the GIPS process, firms can use a third-party, witness-based attestation process for verifying financial results. Deciding which process to use (or none at all) boils down to the kinds of clients that a firm serves, says Julie A. Bazan, chief operating officer (COO), Cobblestone Capital Advisors.
Video Interview with FTF News: When it comes to #performancemeasurement and #attribution, data quality issues are paramount, says Jeremy Welch, head of investment reporting performance (IRP) US, BNP Americas IRP Group, part of BNP Paribas
"Those working in performance measurement will know when their firm has chosen the right attribution model when the traders and others are using the performance reports and are asking for more, says Dan LaRochelle, a quantitative analyst for investment risk and performance attribution at Aberdeen Asset Management.
Greg Sonis, CFO at Eidesis Capital, recounts the progress that reconciliation has made as securities operations have become more global, complex and integrated. He also looks ahead to the next chapter for the role of recs.
Automation, component outsourcing, and multi-faceted systems are some of the key aspects for building a strategy that helps boutique securities firms achieve operational efficiency especially when it comes to reconciliation, says Todd Merrell, director of finance at Welton Investment Partners in his ReCon video interview with FTF News.
Andrew Chapman, Senior Manager for Vanguard, says Recs Customer Experience Hinges On Vendor Relationship #reconciliations #posttradereconciliations #customerexperience
Kerry Ryan, director, head of global web services at Legg Mason offers useful tips on how firms need to create timely, relevant and meaningful content for their social media strategies. #FTFSMAC #socialmedia
The keynote speaker at the recent SMAC 2015 (Social Media and Compliance in Financial Services) conference, Beth Wood Leidt, vice president for marketing at the Guardian Life Insurance Co., says that she’s excited about social media-based interactive technologies that bring print ads to life and bolster the firm’s social media strategy.
Financial services firms should act quickly if they have a social media problem or even a disaster, says Al Raymond, the former head of U.S. privacy and social media compliance for TD Bank. Firms should also have a multi-disciplinary team in place to handle a crisis because a firms’s brand and reputation are at high risk if the crisis spins out of control. Editor’s note: At the time of this video recording, Al Raymond was senior vice president, head of U.S. Privacy and social media compliance with TD Bank. He is currently specialist leader, privacy and data protection at Deloitte.
Russell Pierce, VP and head of settlements at Landesbank Baden-Wurttemberg, says firms should wise up when it comes to poor reconciliation capabilities. Pierce says to improve Recs, firms need to increase automation and make sure they’re making top quality hires. #FTFReCon Join Russell at ReCon New York on November 16th to discuss the challenges of reconciliations, network with industry practitioners to come up with best practices, and hear from service providers about the solutions available to make your life easier. Learn more here: http://www.ftfnews.com/event/recon-new-york-2015
Larry Doyle an industry veteran and the author of “In Bed With Wall Street: The Conspiracy Crippling Our Global Economy,” talks about his book and changing the incestuous relationship between Wall Street and industry regulators. Doyle is the winner of the Editor’s Choice award for 2015. Learn more on the 2016 FTF News Awards here: http://www.ftfnews.com/awards/the-ftf-news-technology-innovation-awards-2016/
Neil Vernon, chief technology officer for Gresham Computing plc — winner of the Best Reconciliation Solution award, takes questions about best-of-breed strategies, spreadsheets and the progress of recs technology. Learn more on the 2016 FTF News Awards here: http://www.ftfnews.com/awards/the-ftf-news-technology-innovation-awards-2016/
Nigel Green, the CEO of the deVere Group and 2015 Ops Business Person of the Year, provides an update on where the anti-#FATCA movement is headed and why it’s gaining ground. Learn more on the 2016 FTF News Awards here: http://www.ftfnews.com/awards/the-ftf-news-technology-innovation-awards-2016/
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