Kathleen Hawk (@kathawk) header
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Kathleen Hawk

@kathawk

business/life/mind strategy

Joined August 2008
  • Tweets353
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  • Followers71
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Photo by Kathleen Hawk (@kathawk)Photo by Kathleen Hawk (@kathawk)Photo by Kathleen Hawk (@kathawk)Photo by Kathleen Hawk (@kathawk)
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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Derivatives Service Bureau users -- are you planning for next year's fees and service changes? Don't miss the first meeting of the DSB Technology Advisory Committee. linkedin.com/feed/update/urn…
Kathleen Hawk retweeted
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Finops Report@finopsreport1 Jun 2018
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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Industry representatives are announced for the new Technology Advisory Committee Membership of the Derivatives Service Bureau. linkedin.com/feed/update/urn… #MiFIDII #RegTech #FinTech
If you will use ISINs for OTC derivatives in 2019, your firm may have something to say about the changes to fees and services proposed in this webinar from the Derivatives Service Bureau. . The feedback deadline is June 13. View it here - linkedin.com/feed/update/urn…
A bit of a rocky start leads to a massively productive tweak in the software. Congratulations to the Derivatives Service Bureau! DSB Technology - Higher Performance, More Resiliency anna-dsb.com/2018/04/28/dsb-…

DSB Technology - Higher Performance, More Resiliency - DSB

A month ago, I described the DSB’s preparations for what turned out to be a very successful industry load test on 6th – 7th April, the results of which we published last week. Based on that success,...

anna-dsb.com
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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Kathleen Hawk retweeted
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Finops Report@finopsreport6 Apr 2018
SEC 12b-1 Fee Amnesty: Costly Ops Work finops.co/?p=4567 #fiduciary #RIA #funds
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Kathleen Hawk retweeted
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Finops Report@finopsreport2 Apr 2018
Unclaimed Checks: Delaware on the Hunt Again? finops.co/?p=4552 #SupremeCourt #escheat
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Solving the FIRDS Data Quality Issues the Easy Way anna-dsb.com/2018/04/01/solv…

Solving the FIRDS Data Quality Issues the Easy Way - DSB

— Updated on 15 July 2020 with links to the latest documentation With MiFID II becoming business-as-usual, now may be a good time to discuss the industry noise on FIRDS data quality, and the percei...

anna-dsb.com
FINRA Rule 4210: Managers Beware of Margin Calls finops.co/?p=4540 #collateral #TBA #Funds
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Kathleen Hawk retweeted
Dalai Lama (@DalaiLama) profile picture
Dalai Lama
@DalaiLama12 Mar 2018
In today’s materialistic world there is a risk of people becoming slaves to money, as though they were simply cogs in a huge money-making machine. This does nothing for human dignity, freedom, and genuine well-being. Wealth should serve humanity, and not the other way around.
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FINRA New Ops Certification: Two Exams Better? finops.co/?p=4529 – at New York, USA
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Kathleen Hawk retweeted
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Finops Report@finopsreport2 Mar 2018
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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Kathleen Hawk retweeted
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Finops Report@finopsreport2 Feb 2018
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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