Our News page provides you access to company press releases, CMA professionals in the news, industry recognition and the CMA company brochure. It also provides access to our thought leaders who regularly contribute articles, blogs, quotes and viewpoints on matters affecting the financial industry. In addition, our News tells you when we’re speaking at industry events. From September 9-11, CMA Partner Michael Hartig spoke at the International Securities Association for Institutional Trade Communication (“ISITC”) conference in Washington, DC presenting about “Preparing for New Regulation”. On October 3 in New York, he spoke about FATCA compliance applied to Corporate Actions at the FTF Conference on Corporate Actions Processing. On October 19, CMA Partner Mike Zimits led a panel on, and spoke about Collateral Management & Risk Management of non CCP-cleared trades at the SCI’s 3rd Annual OTC Derivatives Seminar produced by Structured Credit Investor with co-sponsors CME Group, Bingham McCutchen LLP and InterContinental Exchange “ICE”.
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 »
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 »
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 »
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 »
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 »
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 »
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 »
** 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 »
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 »
The General Data Protection Regulation, or GDPR, in Europe and distributed ledger technology are on a collision course. In its mission to secure individuals’ data, GDPR’s principles around data ownership, control and protection seemingly are in fundamental conflict with the ideals of blockchain’s distributed network, says George Bollenbacher, partner, Capital Markets Advisors. Speaking with TABB Group founder and research chairman Larry Tabb, Bollenbacher explains the complexities of regulating data on… Read More »
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.… Read More »
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… Read More »
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… Read More »
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