Finops Report

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

[Finops Report @finopsreport]

Untangling five years of investor "miscommunication"...

BofAML's Fake Trade Reports: Governance Breakdown?
https://t.co/J6PRA8ui4x #Fraud #transparency #Compliance

[Finops Report @finopsreport]

How do you stop the "wash cycle" in crypto money laundering? Read about it here.

Crypto Laundering: #AML Regs Tighten
https://t.co/x7n0GBwnVC #bitcoin #cryptocurrency #KYC

[Finops Report @finopsreport]

GDPR: Final Call for US Asset Managers
https://t.co/hav1CDHPaz #privacy #data

[Finops Report @finopsreport]

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
https://t.co/WzvcdqeIA6 #cryptocurrency #bitcoin #custodian

[Finops Report @finopsreport]

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
https://t.co/5vtjjqbYBb #mutualfunds #ETFs #IBOR

[Finops Report @finopsreport]

Cryptocurrency: Next Frontier for Cost-Basis Reporting
https://t.co/Pj6PT8oCzf #bitcoins #tax #Crypto

[Finops Report @finopsreport]

Cybersecurity and GDPR: the Budget Battles
https://t.co/GAahZ3MZtq #Compliance #privacy #Hacking ##fraud

[Finops Report @finopsreport]

SEC 12b-1 Fee Amnesty: Costly Ops Work
https://t.co/jAL1GWeLZW #fiduciary #RIA #funds

[Finops Report @finopsreport]

Unclaimed Checks: Delaware on the Hunt Again?
https://t.co/QULWz6LNRg #SupremeCourt #escheat

[Finops Report @finopsreport]

FINRA Rule 4210: Managers Beware of Margin Calls
https://t.co/AmYFk3dSjD #collateral #TBA #Funds

[Finops Report @finopsreport]

FINRA New Ops Certification: Two Exams Better?
https://t.co/MQnF9ohbYZ

[Finops Report @finopsreport]

You've Been Hacked! What Do You Say?'
https://t.co/EJwhJDlmKm #CyberSecurity #Investors #Compliance

[Finops Report @finopsreport]

KYC: Beneficial Owner Rules Looming
https://t.co/p2PWLU3p11 #AML #Sanctions #fraud

[Finops Report @finopsreport]

US T+1 Settlement: Not So Fast
https://t.co/WMcTLdKNbi #tplus2 #DTCC #trading

[Finops Report @finopsreport]

SEC to Fund Administrators:
No Proof, No NAV
https://t.co/sO5MKi9TJl

[Finops Report @finopsreport]

Central Clearing for US Treasuries: Pipedream or Reality?
https://t.co/oDOwEwMaUm #DTCC

[Finops Report @finopsreport]

FINRA to Broker-Dealers: Are You Liquid Enough?
https://t.co/tufQnXNPxA #SecLending #liquidity

[Finops Report @finopsreport]

OTC ISINs: Few Users Pay Much More
https://t.co/g9j52y7ZaM #MiFIDII #ESMA #derivatives

[Finops Report @finopsreport]

Love Taxes, Operations: Be a Tax Ops Director
https://t.co/5AehaHTg6G #FATCA #IRS #KYC

[Finops Report @finopsreport]

New Year's Message: Pay More for OTC ISINs?
https://t.co/5AehaHTg6G #MIFID2 #derivatives #swap