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CMA is excited to welcome Diane Gabriel to our team as our Executive Director of Wealth Management Recruiting and Senior Business Development & Talent Acquisition Specialist. Diane has over 40 years of experience in Wealth Management. She has worked at Wells Fargo Advisors and predecessor firms, and most recently as the Director of Financial Advisor Recruiting at Janney Montgomery Scott. At Janney, she was responsible for leading the firm’s Financial Advisor… Read More »

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CMA is  thrilled to announce that both David Carle of CMA and Nexus FrontierTech, as well as Danny Goh of Nexus will be speaking at Reuters Events: Future of Insurance Canada 2024 conference. Join them and 300+ of Canada’s insurance leaders as we gather to shape the future of our industry. This event is a unique opportunity to explore cutting-edge innovations, discuss emerging trends, and network with the brightest minds in… Read More »

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The transition from LIBOR to the Fed-published Secured Overnight Financing Rate (SOFR) or possible alternatives is motivated in large part by the mandated cessation of LIBOR publication.  The transition has engendered major operational initiatives across a wide spectrum of affected banks and other financial institutions. LIBOR has been so thoroughly embedded that legally imposed limits on its use has created an immediate need to prioritize the transition. Institutions must identify… Read More »

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Building on the success of our first FRTB roundtable discussion held on December 9, 2020, we are offering a very select group of bank dealers the opportunity to explore in greater detail the impact of FRTB on their operations, finance, technology, and overall business model. The pressure to complete external and internal readiness assessment is increasing as we approach the first milestones on the new FRTB calendar. Banks must be… Read More »

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FRTB will be far more challenging than traditional risk capital regulations due to the lack of regulatory clarity over the boundaries between banking and trading book, the need for consistency across risk data sources, data modellability to prepare for complex risk calculations, and new governance to address changes in data structures and technology infrastructure. In our recent White Paper, Ice Data Services, Baker McKenzie, LP, Alveo and Capital Markets Advisors,… Read More »

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CMA’s Steven Goune was featured in the Fin Ops Report’s November 16th article on the challenges of customer account data management issues. The article also highlights CMA’s unique and efficient Data Services Utility tool to help firms become CAT-CAIS compliant in weeks, rather than rather than months or longer! Check out the full article here: https://finopsinfo.com/regulations/finras-cat-customer-account-data-management-challenge/ Want to know more about CMA’s Data Services Utility and our CAT-CAIS Compliance Solutions? Fill… Read More »

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The Fundamental Review of the Trading Book (FRTB) will have an impact on most banks’ operating and trading models, and 2021 is a critical year to make plans to deal with the complex set of requirements it introduces. Our panel of experts will share their insights on how you can address the impact and challenges of FRTB through their expertise in risk analytics, mathematical finance, and regulatory rule interpretation. Learn… Read More »

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Become CAT/CAIS compliant in weeks rather than months or longer. As the CAT focus intensifies on CAIS, intra & inter-firm linkages and more, CMA is a leader in the financial industry, including planning CAT Industry RoundTables, featuring legal, financial and regulatory experts from a variety of firms, and focusing on new challenges facing financial firms and broker-dealers. We are also excited to share with you the announcement of our new Data… Read More »

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** This event has taken place. Want to view a recording of the panel or hear more about CMA’s CAT Solutions? Email us at info@capital-markets-advisors.com** On August 13th, CMA hosted a virtual roundtable discussion on the future of the Consolidated Audit Trail (CAT). Even though equity securities (phase 2a) and listed options transactions (phase 2b) event reporting are now live, the Consolidated Audit Trail (CAT) is not fully operational. Linkages… Read More »

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On March 16, in acknowledgement of the impact of COVID-19 on market participants and their need to implement business continuity plans, the SEC issued a no-action letter for CAT reporting, valid until May 20, 2020, without deferral of any subsequent compliance dates – inadvertently creating a potential bottleneck, with reporting firms likely having to deal with remediation activity for phases which had already gone-live, while simultaneously having to prepare for… Read More »

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