Back Office Committee

The Back Office Committee will have its next call on Thursday November 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

POSTED Nov 14,2022

Data & Technology Committee

The Data and Technology Committee will have its next call on Wednesday November 30 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The spotlight presenter will be Brent Yates of IEX, who will discuss IEX cloudSwXtch.

POSTED Nov 14,2022

Electronic Recordkeeping Rule

On Thursday December 1 at 11 am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will review the SEC’s recently-adopted rule on Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants. FIF has invited members of the Compliance and Surveillance Working Group, the Emerging Technologies Working Group, and the Back Office Committee to participate on this call. If you are not a member of any of these groups and would like to join this call, please contact fifinfo@fif.com, and we will include you on the call.

POSTED Nov 14,2022

Trade Surveillance Panel Discussion

FIF has scheduled a panel discussion on trade surveillance for the FIF Compliance and Surveillance Working Group and the FIF Front Office Committee for Thursday December 8 at 2 pm ET. The panelists will be Mark Davies of S3, Brett MacLeod of Abel Noser and Andrew White of Broadridge. Holly Dito of Pershing will moderate the panel. The panelists will discuss the scope of trade surveillance. Time permitting, the panelists also will discuss T+1 vs. real-time surveillance, use of AI for surveillance, trade surveillance based on business activity (retail; institutional; market making; exchange; ATS; clearing firm), standardization vs. customization, reviewing and updating parameters, checking and challenging your trade surveillance program, and trade surveillance for foreign markets. Time permitting, the panel also will focus on market manipulation, with a discussion of the potential red flags in securities trading identified by FINRA in Regulatory Notice 19-18 (Anti-Money Laundering (AML) Program FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations). Any topics not covered on this call will be covered during a subsequent call. If you are not a member of the Compliance and Surveillance Working Group or the Front Office Committee and you would like to join this call, please contact fifinfo@fif.com, and we will include you on the call.     

POSTED Nov 14,2022

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