securities

No Software Patch to fix Communication Bugs and Flaws between CIOs and Boards
CIO Review >> CXO Insight

Scott T. Mathis, CISO, RBC Bank US

The Form 10-K provides just about everything you'd want or need to know about a company's financial statements, core operations and business models, core business processes and mission critical revenue streams

How to Ignite your Digital Strategy with AI
CIO Review >> CXO Insight

Martin Caupin, Data Scientist, BNP Paribas Corporate and Institutional Banking

Transformation comes with a change of mindsets; it’s by sharing ideas with others and delivering positive results.

Blockchain and The Law: How a Simple Project can get Complicated Quickly
CIO Review >> CXO Insight

Evan Abrams, Associate, Steptoe & Johnson LLP

Blockchain technology is advancing rapidly with new use cases emerging on a seemingly weekly basis.

The Evolution of Compliance
CIO Review >> CXO Insight

Patrick Henz, Head Governance & Compliance US, Regional Compliance Officer Americas, Primetals Technologies

An open corporate culture, where employees feel free to discuss their different opinions, is an efficient protection against potential future shocks.

Leonovus Announces Plans for an Initial Coin Offering for the GALAXA Marketplace
CIO Review >> News

CIOReview

Leonovus Inc., (“Leonovus” or the “Company”) (TSXV: LTV) announced today an update to its initial December 21, 2017 news release regarding plans for the launch of an Initial Coin Offering (“ICO”) for securities.

MIFID II Becoming a Reality
CIO Review >> CXO Insight

Joe Turso, VP, SmartStream Technologies

The need for being compliant with The European Union regulations for the Markets in Financial Instruments Directive (MIFID II).

Chief Compliance Officers And Cyber Security: A Match Made in the Boardroom
CIO Review >> CXO Insight

Robert Garretson, GM, Governance Strategy, United States Steel Corporation

While there may be only a handful of safe bets in 2017, one smart wager is that the historical purview of compliance departments will continue to evolve.

New Age Funding Mystery Solved
CIO Review >> CXO Insight

Nin Desai, CEO, NIN Ventures LLC

NIN.VC is a unique and first of its kind Crowdfunded venture capital fund that offers membership interests pursuant to Rule 506(c) of Regulation D under the Securities Act of 1933.

Cybersecurity Risks and Why Internal Partnerships and Cross-Functional Resources Matter
CIO Review >> CXO Insight

Adrian Mebane, VP & Deputy General Counsel, The Hershey Company [NYSE: HSY]

When I was asked to write this article, the Yahoo data breach had recently hit the airwaves. Reports indicate that much remains to be determined as investors and investigators weigh the extent of the breach and who at Yahoo knew what and when.

Reach for the Sky
CIO Review >> CIO Viewpoint

Robert Cornish, CIO, International Securities Exchange

While growing up on a farm in the Midwest, this was a blasphemous phrase to utter.

Substituting Precision for Accuracy: What the Bond Markets Can Teach Us About the Law of Unintended Consequences
CIO Review >> CXO Insight

Paul Daley, Head of Fixed Info Lab, BondWave LLC

I recently read the Securities and Exchange Commission’s proposed Rule 22e-4 concerning Open-End Fund Liquidity Risk Management Programs (LRMP) and Swing Pricing.

Taking a Transformative Leap with Big Data
CIO Review >> CIO Viewpoint

Saro Jahani, CIO, Direct Edge

As in other industries, technology is making business much faster and this will continue to be a big story in capital markets in 2014.However, speed requires stability. At Direct Edge, I have developed and executed against a "Stability and Latency...

Japan Exchange Group Inviting Bids To Build Its New Derivatives System
CIO Review >> News

CIOReview

Japan Exchange Group, that was formed last January with the merger of Tokyo Stock Exchange and Osaka Securities Exchange, is inviting bids from technology vendors to help build its new

Capital Market Tech Spending To Revolve Around Risk And Compliance
CIO Review >> News

CIOReview

The bi-annual Financial Insights report published by International Data Corporation (IDC) brought to light the trends that are set to dominate capital market and other financial sectors. According

The Client Clearing Offering: Balancing Cost, Risk, and Client Service
CIO Review >> CXO Insight

Phil Matricardi, Manager-Business Consulting, Sapient Global Markets

Prior to the global financial crisis, OTC derivative trading was highly profitable and allowed management to overlook manual processing and large support staffs.

Dell Insurance IT Services Gets New Skipper
CIO Review >> News

CIOReview

Dell’s Banking and Financial Services, Securities and Insurance group recently hired Joel Conrad as their new CIO.

Q2 Virtual Banking Service Registers for Initial Public Offering
CIO Review >> News

CIOReview

Q2 Holdings, a virtual banking solutions provider, announced filing a registration statement on Form S-1 with the U.S. Securities and Exchange Commission to raise up to $138 Mn in an initial public offering of common stock.

Cybersecurity Insurance- A Catalyst for Security
CIO Review >> News

CIOReview

22 March 2016 witnessed the deadliest act of terrorism in Belgium’s history. Few hours after the bombing, the U.S. House Homeland Security Cybersecurity Subcommittee.

OneAmerica Securities Partners with eFileCabinet for Higher Productivity
CIO Review >> News

CIOReview

OneAmerica Securities, in its bid to improve its productivity has partnered with eFilecabinet, a provider of electronic document management software for small businesses

Cloud Based Contact Center Software Provider Registers with SEC
CIO Review >> News

CIOReview

Five9, provider of cloud contact center software has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission relating to a proposed initial public offering of shares of its common stock.