The FIF CAT Monthly Update Working Group call for January will be on Thursday January 4 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing reporting during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS reporting and CAT billing.
POSTED Jan 02,2024
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for Monday January 8 at 2 pm ET to review a revised draft FIF letter to the SEC on the requirement for a routing firm to report to CAT settings applied by a receiving firm.
POSTED Jan 02,2024
On Tuesday January 9 at 3 pm ET, Penny Christophorou and Ignacio Sandoval of the Morgan Lewis law firm will review the rule recently adopted by the SEC to expand centralized clearing of Treasuries. FIF has invited members of the following Committees and Working Groups to participate on this call: Back Office Committee; Compliance and Surveillance Working Group; Financial Risk Regulations Working Group; and TRACE / Fixed Income Working Group. If you would like to participate on this call and are not a member of any of these Committees or Working Groups, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 02,2024
FIF has scheduled a call for Thursday January 11 at 3 pm ET to review a digest of rules recently adopted or proposed by the SEC or FINRA. The rules are organized based on the following areas: Technology, Operations and Finance; Equities; Options; Fixed Income; Security-Based Swaps; Multiple Asset Classes; and Compliance and Proceedings. The January 11 call will focus on the first two areas. FIF has invited the members of the FIF Compliance and Surveillance Working Group to participate on this call. FIF has also created a new SEC FINRA Regulations Working Group. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 02,2024
FIF has scheduled a call for the Section 31 subgroup for Tuesday January 16 at 3 pm ET. The subgroup will discuss next steps after the recent FIF member call with FINRA representatives to discuss enhancing the reconciliation process for the FINRA Regulatory Transaction Fee (charged by FINRA to reimburse FINRA for the Section 31 fee it pays to the SEC). If you would like to participate on this call and are not a member of this subgroup, please contact fifinfo@fif.com.
POSTED Jan 02,2024
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Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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