BROWSE BY TOPIC
Stories of Interest
- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
- SEC Drops Case Against Ex-JPMorgan Traders Over 'London Whale'
- Financial Advisers That Invest in Technology Need to Accomplish These Two Things
- FINRA Amends Codes Regarding Expedited Arbitrator List Selection
- FINRA July 2017 Quarterly Disciplinary Review (Podcast)
- Senior Exec in Citigroup's Equities Unit Has Left
- Prudential Plotting its Escape From Fed's Tough Oversight
- Why CEOs Spurned Trump's Business Councils, in Their Own Words
- A Stockbroker, Her LLC, and Her Customers' Loans (Or Investment?) - Bill Singer
- Brian Quintenz Sworn In as CFTC Commissioner
- A Gary Cohn Resignation Would 'Crash the Markets' – Mgmt Guru Jeffrey Sonnenfeld
- Trading Firm DRW to Buy RGM Advisors - As Low Volatility Forces Out Weak HFT Players (subsc reqd)
- Reputational Damage - Rajat Gupta on Hard Road to Recovery
- 7th Circuit Affirms Spoofing Conviction - Bill Singer
- Wells Fargo Announces Board Changes
- Judge Rules Against Ex-Goldman Employee in Fed Leak Case
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Wall Street News
Exhibitors at 2017 SIFMA Annual C&L Conference
The SIFMA annual conference, this year in San Diego, was a feast of sights and sounds for the 1,800 or so attendees. One of the highlights was a well-diversified Exhibition Hall. For those who couldn’t make the trip, Financialish offers summaries of some of the products and services provided by this year’s exhibitors. [Note: Summaries provided by exhibitors.]
Click on a company name to access its web site. And, if they ask, tell them ‘Financialish sent you’.
[P.S. - If you'd like a contact name, please write to us.]
n-Tier Financial Services … is a regulatory-focused data validation company that helps firms automate the validation processes required to ensure the ongoing accuracy and completeness of their regulatory reporting submissions. We provide clients with a state-of-the-art data validation platform coupled with deep regulatory knowledge and expertise built-up through years of working on regulatory data validation and remediation programs across different investment banking and brokerage firms.
Used by some of the most well-known firms in the industry, our Compliance Workbench platform provides clients with a sustainable process which focuses on 100% validation and auto-correction of each regulatory report. Our cutting-edge software provides automated monitoring capability for regulatory reporting across even the most complex infrastructures, and enables firms to quickly identify and correct reporting issues. With unique in-depth experience in reporting requirements such as Blue Sheets, OATS, LOPR and AML, we provide clients a flexible solution which can be implemented quickly and centralizes the validation process across different regulatory reporting requirements. [Jeff Bergson: jeff.bergson@n-Tierfs.com]
Iron Mountain Incorporated … is the global leader for storage and information management services, protecting billions of information assets. The company’s Intellectual Property Management (IPM) business provides both Designated Third Party (D3P) services and technology escrow services for financial services firms. Iron Mountain’s D3P service helps financial services firms achieve SEC and CFTC compliance for preservation of electronic records, helping broker-dealers and swap dealers comply with rules such as SEC Rule 17a-4 and CFTC Section 17 CFR 1.31.
With our detailed audit reports, test reports, and System Configuration Plan in hand, financial services firms can face their next audit with confidence, knowing they have met the designated third party requirement. In addition, Iron Mountain’s technology escrow service helps to safeguard the critical technology that runs a business – both on-premises and in the cloud. With technology escrow, financial services firms can keep their businesses up and running in case of unforeseen circumstances with a technology vendor. [John Boruvka: email@example.com]
ACA Compliance Group … is a leading global provider of regulatory compliance products, performance services, cybersecurity and technology risk assessments, and technology solutions to the financial services industry. Founded in 2002 by former SEC examiners and state regulators, ACA develops and provides its products through a world-wide team of former SEC, FINRA, FSA, NYSE, CFTC, NFA, state regulators, as well as former senior in-house compliance professionals and technologists from prominent financial institutions.
ACA serves a diversified base of leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA’s products include standard and customized compliance packages, GIPS® verifications and other performance services, cybersecurity and technology risk assessments, and a wide variety of technology solutions to financial services firms. [Dee Stafford: firstname.lastname@example.org]
Copytalk … is a premier provider of secure transcription services to leading financial firms since 2001. Copytalk's mobile dictation offers its clients transcriptions sent over secure servers, via encrypted email, or directly into integrated CRM tools. Document important client notes by dictating through any phone or our mobile app.
Copytalk ensures privacy and security of data via controlled & monitored U.S. facility-based transcriptionists (similar to FINRA testing centers). Copytalk offers best-in-class data protection and privacy protocols within the guidelines of financial and legal industry standards. Our valued-added transcription services help you save time, stay organized, and improve efficiency. [Diane Creasy: email@example.com]
IMS ExpertServices … has, in its two-decade history of excellence, provided hundreds of securities and finance experts in support of high-stakes litigation. We believe that registries and databases fall short of capturing the nuance and intricacies required of experts in financial litigation. We deliver the best experts in the world, not the best experts in a directory.
Litigation can be full of surprises. Partnering with IMS ExpertServices helps you anticipate unexpected challenges and engage the best experts. Our professional, highly-qualified team of researchers, recruiters, and project support staff ensure that little issues don’t become big ones, and that everyone involved is informed, prepared, and positioned for the best outcome.
‘The Right Experts, Every Time’ [Teresa Barger: firstname.lastname@example.org]
RedOwl … provides complete visibility and control over each of the people with access to sensitive information within the organization, including assessing their activity, motivation, and intent, to proactively detect and respond to insider risks. Only with RedOwl can organizations quickly,accurately, and confidently answer the following questions:
· What is risky behavior in our organization?
· Who are the riskiest people?
· Is this behavior problematic?
Click here for news. [Rob Rachwald: email@example.com]
Global Relay … is the leading provider of cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector and other highly regulated industries. Global Relay delivers services to over 20,000 customers in 90 countries, including 22 of the top 25 banks. Global Relay Archive supports email, IM, Bloomberg®, Thomson Reuters, social media, mobile messaging, and more - with mobile, Outlook, and web access.” [Bryce Sack: firstname.lastname@example.org]
Hewlett Packard Enterprise’s Digital Safe Suite ... provides a systematic approach for compliant archiving, supervision, surveillance and legal discovery to support regulatory compliance and litigation readiness. With the analytics to help you gain visibility and control of your data, you can: capture and manage data from creation to disposal; quickly discover relevant data for legal or compliance review; and more effectively identify the information that matters.
Hewlett Packard Enterprise can also enable you to derive deeper insight into your business activities and information in order to detect, investigate and take action against insider trading, collusion, fraud and other serious behavior that expose your organization to risk. [Luis Romero: email@example.com]