Operations
Brokers Cry SOS on Rule 606
While the industry has been granted a delay for SEC Rule 606, more guidance is necessary to move forward.
Daiwa Capital Markets Tackles GDPR Using Multi-Layer Encryption Tools
Investment bank is anonymizing data to meet cross-border data protection and cybersecurity regulations.
Ex-Goldman Sachs MD Joins Kingswood Board
Robert Suss brings background in wealth management to UK-based financial advisement firm.
ChartIQ Names Armstrong Chief Revenue Officer
Julie Armstrong takes her record in sales and business development to the Virginia-based vendor.
Microsoft Sees Trade Finance, Bond Issuance as Ripe for Blockchain Growth
Marc Mercuri of Microsoft explains where the tech giant sees room for blockchain solutions in the future.
Refinitiv Partners with Trulioo to Expand KYC Offering
Refinitiv's risk intelligence solutions utilize Trulioo's verification system and data hub to help institutions more efficiently meet KYC requirements.
IEX Group Hires Chief People and Marketing Officers
Kate Gunning and Andrea Ledford will be based in New York.
Zerrusen To Head SEC's Cybersecurity Policy
A 30-year industry vet, Zerrusen will advise SEC Chairman Jay Clayton on cybersecurity issues.
CloudMargin Taps TriOptima's Connolly as CEO
Connolly, who served as TriOptima Group CEO since 2017, will take over from Steve Husk.
CFTC Hires Former White House Privacy Analyst
Cutshall takes over as chief privacy officer.
CLS Appoints Central Banker as CEO
Marc Bayle de Jessé brings markets infrastructure and payments experience to CLS.
Bank and Buy-Side Data Specialists Discuss Data Transformation Do’s & Don’ts
This year’s North American Financial Information Summit saw C-level execs from the buy and sell sides come together to talk about data needs.
Human Factor Is Crucial to the Alt Data Gold Rush
While tech advancements are being made, buy-side firms still rely on humans to make sense of alt data.
'Next Act: A Profile of Euronext's Alain Courbebaisse
The last decade has seen Euronext chewed up and spun out following a series of mergers & acquisitions. Once again independent, Courbebaisse is writing the exchange’s IT roadmap.
SFTR Preparations Stifled by Data Availability
While the initial go-live date of SFTR is set for early 2020, data availability and legacy processes remain the leading roadblocks.
Citi Invests in ChartIQ's Finsemble
Citi is the first Series B strategic investor for ChartIQ's desktop integration platform.
OpenFin Raises $17 Million in Series C Funding
It seeks to solve desktop interoperability issues and expand cloud services with this latest investment.
USAM ‘Slices’ Alt Dataset of Sales Pipeline Benchmarks
The suite of data and tools will allow sales organizations and investors to forecast sales activity, and hence company income.
Human-Machine Fusion Seen as Key to Cyber Defense
Software and flesh-and-blood humans are both important when it comes to protecting an institution, panelists say.
IIROC Melds Equities, Debt Surveillance on Nasdaq Smarts Platform
IIROC has used Nasdaq Smarts for market surveillance since 2010, but is consolidating equities and debt market surveillance for the first time.
IHS Markit Debuts Client Onboarding Tool
The Onboarding Accelerator offers a dashboard tool to automate manual client-addition processes.
CAT Rollout Moves Forward Following Processor Change
Finra and the SEC are working on identifiers that mask personally identifiable information.
Sifma Rolls Out Bulk Transfer Plan
The plan will lay out a common process to move accounts if a broker-dealer falls into difficulties.
Growing Sanctions Complexity Causes Headaches for Traders
As more sanctions are issued, and become more complicated, firms find greater need for a monitoring service.