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Race to the Patent Office for Syndicated Loan Blockchain

August 29, 2020 By Chris Kentouris Leave a Comment

The results of a behind the scenes battle brewing between blockchain technology startup Hashlynx and mega-bank Bank of America to win a patent for a distributed ledger-based technology platform could end up determining how the operational difficulties inherent in the US$2 trillion paper-intensive syndicated loans market are eliminated and by whom. Whoever is awarded a […]

Filed Under: Compliance, Data, Investments, Investors, Sec Lending, Settlement Tagged With: Blockchain, Crypto, Data, Fund Ops, Investors, Sec Lending, Settlement

COVID 19: Custody Network Management Revisited

June 27, 2020 By Chris Kentouris Leave a Comment

If fund managers can outsource middle and back-office operations and even trading desks, why can’t global custodians outsource network management due diligence and monitoring? That’s the question over a dozen former global custody network managers who spoke with FinOps Report over the past month are asking as concerns mount that the COVID-19 pandemic could eventually […]

Filed Under: Compliance, Custody, Data, Investors, Post-Trade, Risk, Rules, Rules, Settlement Tagged With: Compliance, Custodians, Depositories, Fund Ops, Funds, Investors, Regulators

Arcesium Sues SS&C: Fund Manager Access to Geneva in Limbo?

June 17, 2020 By Chris Kentouris Leave a Comment

Middle-office operations managers at alternative fund management firms accessing SS&C Technologies’ Geneva portfolio accounting system through reseller Arcesium are now caught in the crossfires of its lawsuit against SS&C Advent and its parent SS&C, with their ability to use SS&C’s Geneva portfolio accounting system possibly in question. SS&C’s Geneva platform is one of the most […]

Filed Under: Compliance, Data, Financials Tagged With: Compliance, Data, Fund Ops, Hedge Funds, Investment Ops, Investors

EU’s New Shareholder Rights Directive: What Standards?

June 11, 2020 By Chris Kentouris Leave a Comment

With Europe’s second incarnation of the Shareholder Rights Directive (SRD II) less than four months away, the securities industry can easily rely on automated communication channels to ease the compliance burden, but using disparate message standards to transmit data and various methodologies for calculating fees will still make the administrative work challenging. The European Commission […]

Filed Under: Corporate Actions, Custody, Investments, Investors Tagged With: Compliance, Fund Operations, Investment Operations, Investors, Regulators

Coronavirus :The Corporate Actions Side Effect

May 11, 2020 By Chris Kentouris Leave a Comment

Corporate actions analysts and operations managers working remotely during the coronavirus pandemic could unintentionally end up leaving money on the table as they scramble to deal with companies either postponing some events or changing the terms of others. That’s what Jonny Ruck, chief executive officer at London- headquartered corporate actions analytics technology firm Scorpeo is […]

Filed Under: Compliance, Corporate Actions, Investments, Investors Tagged With: Compliance, Corporate Actions, Investment Ops, Investors, Regulators

SEC: CAT Reports Can Omit Some Customer Data

March 31, 2020 By Chris Kentouris Leave a Comment

Data management units at US broker-dealers and the Financial Industry Regulatory Authority (FINRA) will be creating bogus codes for sending trade execution reports required by the Consolidated Audit Trail (CAT) to conceal the identities of investors and mitigate potential damage from cybersecurity breaches. The US Securities and Exchange Commission’s long-awaited decision earlier this month to […]

Filed Under: Compliance, Data, Regulations, Risk, Security Tagged With: Compliance, Data, FINRA, Investors, Reporting, SEC, Security

Vote Confirmation: Devil in the Operations Details

March 3, 2020 By Chris Kentouris Leave a Comment

Determining whether a vote was actually counted at a corporate meeting has resurrected a sparring match among transfer agents, financial intermediaries, issuers and Broadridge Financial over how to operationally get the job done. Among the participants on a new end-to-end vote confirmation committee set up by the Securities and Exchange Commission to address the issue, […]

Filed Under: Compliance, Investors, Regulators, Rules Tagged With: Compliance, Investors, Regulations, SEC, Standards

JP Morgan Whistleblower Case Tests Unclaimed Property Compliance

February 9, 2020 By Chris Kentouris Leave a Comment

How hard is it to calculate past interest due? Unclaimed property operations and compliance managers at US financial firms will soon find out that the task is more difficult than they thought should JP Morgan Chase lose its appeal of a New York civil court judge’s ruling about the bank’s required interest payment on unclaimed […]

Filed Under: Compliance, Rules, Unclaimed Tagged With: Compliance, Escheatment, Investors, Reporting

Free Webinar: Eight Steps to Manage Third-Party CyberRisk

May 9, 2019 By Chris Kentouris Leave a Comment

Join FinOps Report (www.finopsinfo.com) for a FREE educational webinar on Managing Third Party CyberRisk: A Best Practice Approach Date: June 4, 2019 Time: 430PM to 530PM EST Interviewer: Chris Kentouris, Editor and Founder of FinOps Report Panelist: Joanna Fields, Managing Principal of Aplomb Strategies For dial-in information please contact Chris.Kentouris@hotmail.com You cannot have the best […]

Filed Under: Compliance, Data, Regulations, Risk, Security Tagged With: Compliance, Data, Investors, Security

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