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Finops Report

@finopsreport

News site covering operations, regulation and technology in global capital markets, edited by Chris Kentouris.

 New York
finops.co
Joined January 2014
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Untangling five years of investor "miscommunication"... BofAML's Fake Trade Reports: Governance Breakdown? finops.co/?p=4684 #Fraud #transparency #Compliance
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How do you stop the "wash cycle" in crypto money laundering? Read about it here. Crypto Laundering: #AML Regs Tighten finops.co/?p=4665 #bitcoin #cryptocurrency #KYC
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GDPR: Final Call for US Asset Managers finops.co/?p=4648 #privacy #data
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Do the custodial rules of the Investment Advisers Act of 1940 apply to crypto-funds? If so, what are the options? Custody: Unchartered Waters for Digital Assets finops.co/?p=4636 #cryptocurrency #bitcoin #custodian – at New York, USA
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When not telling your investors the fund share value at day's end is just NOT an option... Striking an NAV: Fund Managers' Contingency Options finops.co/?p=4619 #mutualfunds #ETFs #IBOR – at New York, USA
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Cryptocurrency: Next Frontier for Cost-Basis Reporting finops.co/?p=4590 #bitcoins #tax #Crypto – at New York, USA
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Cybersecurity and GDPR: the Budget Battles finops.co/?p=4581 #Compliance #privacy #Hacking ##fraud
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SEC 12b-1 Fee Amnesty: Costly Ops Work finops.co/?p=4567 #fiduciary #RIA #funds
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Unclaimed Checks: Delaware on the Hunt Again? finops.co/?p=4552 #SupremeCourt #escheat
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FINRA Rule 4210: Managers Beware of Margin Calls finops.co/?p=4540 #collateral #TBA #Funds
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FINRA New Ops Certification: Two Exams Better? finops.co/?p=4529 – at New York, USA
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You've Been Hacked! What Do You Say?' finops.co/?p=4519 #CyberSecurity #Investors #Compliance – at New York, USA
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KYC: Beneficial Owner Rules Looming finops.co/?p=4504 #AML #Sanctions #fraud – at New York, USA
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US T+1 Settlement: Not So Fast finops.co/?p=442 #tplus2 #DTCC #trading – at New York, USA
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SEC to Fund Administrators: No Proof, No NAV finops.co/?p=4476
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Central Clearing for US Treasuries: Pipedream or Reality? finops.co/?p=4459 #DTCC – at New York, NY
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FINRA to Broker-Dealers: Are You Liquid Enough? finops.co/?p=4453 #SecLending #liquidity – at New York, NY
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OTC ISINs: Few Users Pay Much More finops.co/?p=4443 #MiFIDII #ESMA #derivatives – at New York, NY
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Love Taxes, Operations: Be a Tax Ops Director finops.co/?p=4412 #FATCA #IRS #KYC – at New York, NY
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New Year's Message: Pay More for OTC ISINs? finops.co/?p=4412 #MIFID2 #derivatives #swap – at New York, NY
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