Post-Trade Industry Whitepapers

The Firm58 team has been involved in post-trade processing and enterprise software development for many years. Take a look at industry research and white papers covering the post-trade industry.

 

White Papers

Why Broker Dealers Need an Internal Risk Assessment Program

To understand the importance of risk assessment for broker dealers, it’s important to examine how the industry standards arose, how they’ve evolved, and what they look like today. The SEC established a formal system of risk assessment for broker dealers nearly three decades ago, to prevent events like the self-liquidation of Drexel Burnham Lambert following[…]

Why Broker Dealers Need to Start Addressing New Compliance Regulations

Advanced technologies have created new opportunities in capital markets. But they have also opened the door for unethical and illegal trading practices, placing broker dealers under enormous regulatory scrutiny. Electronic trading practices have transformed compliance issues into multi-asset, multi-event scenarios. Firm58’s whitepaper, “The Evolution of Compliance: Why Broker Dealers Need to Renew Their Regulatory Vows,”[…]

The Evolution of Capital Markets Fragmentation

Over the last 20 years, the markets have evolved from a system centralized around a handful of large exchanges and market makers into a diverse array of digital trading platforms. This new infographic shows just how dramatic the changes have been, demonstrating the severity and complexity of market fragmentation in capital markets. Digitization has opened[…]

Are Financial Markets Ready to Implement Blockchain Technology?

For the past couple of years, bitcoin dominated the financial markets’ hype cycle. Today, organizations and traders are more excited about blockchain – the technology behind bitcoin’s success.

Keeping Up with Compliance & Surveillance in the Capital Markets

“Shape or Pay Up: How Broker Dealers Can Keep Pace with Compliance,” Firm58’s latest whitepaper, gives middle market brokerage firms recommendations for keeping up with compliance in a post-Dodd Frank financial landscape.

How Mismanaged Execution Fees Are Eating Broker Dealer Profits

Technology has fundamentally changed capital markets over the past two decades. Before, trades were concentrated across a few key exchanges and most execution fees were flat rates. But now, fragmented markets and complex fee structures are creating serious challenges for broker dealer firms.

Unifying the Financial Enterprise

The dramatic changes reshaping today’s securities industry are creating intense new pressures for financial services firms. Growing trade volumes combined with the proliferation of electronic exchanges have sharply increased trade complexity, driving up costs and processing demands.

Reinventing the Relationship: Institutional Brokerage Profitability

Institutional Brokerage Profitability provides insight into the increasingly complex needs of the buy side and how brokers are responding to those needs while maintaining their bottom line.

Trends in Broker-Dealer Regulatory Compliance and Technology: A Firm58 Study

To gauge sentiment around today’s regulations, what brokerages are doing to stay compliant, and their thoughts on surveillance technology, financial management software company Firm58 conducted a round table of broker-dealer compliance officers.

The Importance of Business Process Maturity and Automation in Running a Hedge Fund

This white paper was published by the executives at Merlin Securities, a Firm58 client, and discusses the importance of business process automation within an asset management firm at all stages of development.