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Financial Services
Event Summary
April 18, 2017
Financial Services | Healthcare & Life Sciences
2016 FARCON
The 2016 FARCON (Financial and Retail Conference on Analytics) took place August 24, 2016. FARCON is Minnesota’s premier event for Data Science in Financial Services and Retail, run by MinneAnalytics, a nonprofit organization dedicated to serving Minnesota’s data science and analytics community.
Event Summary
September 21, 2016
2016 Data Governance Financial Services Conference
The 2016 Data Governance Financial Services Conference, the only conference dedicated entirely to data governance and financial services, was held at the Westin Jersey City Newport in Jersey City, NJ on September 9th.
Insight Paper
September 26, 2016
Trade Settlement Time Set to Decrease in the US
The industry supports a move to shorten the settlement cycle for U.S. equities, corporate bonds, and municipal bonds to trade date plus two days (T+2) from the current T+3 in the third quarter of 2017.
Insight Paper
September 26, 2016
Securities and Exchange Commission Gets Serious About Business Continuity
The SEC has now issued new and updated existing rules due to their perception of the robust nature of business continuity plans at some firms, especially as they pertain to the use of 3rd party vendors to perform market critical functions. IM firms need to quickly assess the impact these changes will have on their…
Insight Paper
September 26, 2016
Long Planned SEC Consolidated Audit Trail Becomes a Reality
In response to the increasingly automated nature of securities markets and trading activity being widely dispersed across many trading centers, the SEC in 2010 proposed a rule that would require the stock exchanges and national securities associations (SROs) to develop a consolidated audit trail (CAT).
Insight Paper
September 26, 2016
Understanding the New Department of Labor Conflict of Interest Rules
Beginning in 2009, the Department of Labor undertook a multi-year regulatory project to address the problems with conflicts of interest in investment advice, balancing the need to better protect retirement savings while minimizing disruptions to the many good practices and good advice that the industry provides.*
Event Summary
October 5, 2016
2016 Chicago Trading Technology Summit
The 2016 Chicago Trading Technology Summit on the Convergence of Trading and Financial Technology Innovation was held at the Mid-America Club in Chicago, IL on September 20th.
Event Summary
December 13, 2016
The 2016 Waters USA Conference
Held on December 5th, this was a very well-attended conference of industry participants and regulators. The key note speaker, Kevin Mahn, Chief Investment Officer for Hennion and Walsh Asset Management, presented the potential impacts on investment management returns of recent global political invents (e.g., US Presidential Election, Italian Referendum rejection
Case Study
February 28, 2017
Financial Services | Healthcare & Life Sciences
Enhancing Treasury Reporting/Analytics Capabilities
Our Client, the Treasury Cash Management and Control team of one of the largest health insurers in the country, is responsible for daily management of operating bank account balances, funding of disbursement accounts, and timely communication of excess or deficit balances to Investment Operations.