Spotlight Series: Rebuilding Risk and Compliance for the Age of Oversight
Avoiding the many pitfalls that dot the new capital markets landscape requires a holistic view of a firm’s risks, from compliance mandates to capital requirements. Intensifying transparency demands and increasingly complex market structure are forcing firms to break down traditional silos between risk, finance and treasury professionals and re-architect their operating models in order to gain a true picture of their front-to-back risk and compliance controls. This TabbFORUM Spotlight Series, sponsored by Cognizant, examines the strategies, processes and technology that firms are employing to sharpen data governance and reporting, improve capital utilization, ensure compliance and build a next-generation risk culture for the Age of Oversight.
Unbundling: Picking the Right Option
Fidessa,16 Sep 2016
In January 2018 the next tranche of European financial regulations, MiFID II, will come into force. Of all the new rules that the legislation contains, perhaps the most impactful will...
Opinion & Analysis
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Analytics: CAT’s Achilles Heel
(Thesys Technologies, Chris Ray)
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2016 TOP STORIES: Settlement Risks Involving Public Blockchains
(R3CEV, Tim Swanson)
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Confronting the Dark Side of the Digital Revolution
(Alex Tabb,Software AG, Mark Beliveau)
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What to Expect at STA National
(Bloomberg, Larry Tabb,The Security Traders Association, Jim Toes)
News
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SEC rewards help bring forward the whistleblowers
('FT)($')
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10 Things the Senate Banking Committee Must Ask Wells Fargo Chief John Stumpf
('WSJ)($')
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New FCA Guidelines Elevate Reporting on Financial Crime and Outsourcing
('Traders')
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It’s Not Just Wells Fargo: Wall Street Bankers Are Cross-Sellers, Too
('The Street')
Dark Trading: Building Blocks of the Future
Karianne Karianne, Tree ConsultingThis research is by Harald Carlens and Duncan Higgins, ITG. The dark trading landscape faces fundamental change once again. The changes in MiFID II/MiFIR, including dark volume caps, likely will...
ContinueAdditional Resources
- The Global LEI Initiative – Third Month of Net New LEIs
Financial InterGroup
- The stock market effects of a securities transaction tax: quasiexperimental evidence from Italy
ECB, Giuseppe Cappelletti, Giovanni Guazzarotti and Pietro Tommasino
- CUSIP Trends – Global Issuance Report
CUSIP Global Services , Richard J Peterson
- Driving ROI: The Business Case for a Comprehensive ETRM Liquid & Bulk Commodities Solution
OpenLink and Hobson & Company