You are viewing all posts tagged with "Transparency"

Magnus Almqvist

senior product specialist, SunGard's capital markets business

14
May
2012

Regulation and compliance: here to stay

Contributor: Magnus Almqvist

The overarching objective of increasing market resilience and stability during periods of turmoil is shared by most, if not all, market actors. But that is where the agreements seem to end. How to achieve this, and how successful the regulators can hope to be is something that could be debated and discussed endlessly. We certainly had a good go at it during a recent panel discussion at SunGard’s London Industry Seminar, and I made the following observations from the event.... read more

Jeff Naylor

vice president, product services, SunGard’s institutional asset management business

11
May
2012

Cost basis reporting for taxes: should fund companies and their transfer agents be concerned?

Contributor: Jeff Naylor

Collecting cost basis data on equities and ETFs for broker-dealers, and reporting it to shareholders on tax forms, has been a significant challenge. Many broker-dealers have struggled with compiling all of the data including books and records, cost basis reporting systems and tax reporting systems together for the 1099-B IRS form. This form is issuedread more... read more

Ralston Roberts Jr

senior managing director, SunGard's capital markets business

4
Apr
2012

What brokerages must do to succeed in 2012

Contributor: Ralston Roberts Jr

With 2012 underway, it’s clear that caution is at an all-time high among investors. This is reflected in shrinking trading volumes and tighter brokerage commissions—a sharp contrast to years past, according to major media reports. To stay ahead, brokerages across the globe will likely have to redouble their efforts to attract and keep more investors this year. Luckily, trading firms will have an array of regulatory reforms and directives, electronic trading and connectivity tools, emerging standards and some cutting-edge options at their disposal to help them attract more investors and bolster their fortunes.... read more

Marcus Cree

vice president, risk solutions, SunGard's capital markets business

3
Apr
2012

Q&A: How will risk management change to support the new OTC derivatives model?

Contributor: Marcus Cree

Last week I participated in a webinar and a Twitterview with DerivSource, covering the changing landscape of risk management in the new OTC derivatives workflow model. It goes without saying that risk is at the center of regulatory reform; the new world of risk management must develop to meet the new requirements and challenges facing the OTC derivatives markets.... read more

Tony Scianna

deputy head of strategy, SunGard’s capital markets business

22
Mar
2012

Q&A: Transforming post-trade processing

Contributor: Tony Scianna

I recently participated in another Twitterview with DerivSource, who asked me several questions about transformations happening in the post-trade processing space. Within the context of regulatory reform, firms are recognizing the need to make changes to meet new rules, both those that have been identified and those still to be determined. In the Q&A, we talked about data management, collateral management, approaches to regulatory compliance, and more. One of the most important ideas that came across is the concern that firms may be planning to respond to regulations one by one rather than equipping themselves with the ability to address multiple regulations in a flexible way.... read more