Industry analysis, product news, and thought leadership from Loffa Interactive Group's team of settlement technology and compliance experts.
Choosing a workflow platform is no longer just an IT decision. For broker-dealers, banks, and other financial services firms, it is a compliance and operational decision that can affect how well the firm performs under regulatory scrutiny.
Excel and SharePoint are useful tools. They are familiar, flexible, and easy to deploy. But for broker-dealers, banks, and other financial services firms, familiarity is not the same thing as control.
When Compliance Becomes Your Competitive Edge: Modern Broker-Dealer Operations in the T+1 Era The Challenge: How T+1 Broke Everything It’s 4:47 PM on a Friday. Quarter-end. Your reconciliation team is staring at 312 unanswered requests from the 30-day mailing—and that number keeps climbing. Meanwhile, two executing brokers are waiting on Letters of Free Funds verification […]
When “Daily” Crosses Midnight: The Calendar Day Problem Nobody’s Solved Picture this: It’s 2:47 AM Eastern Time on Wednesday, March 12th. A retail customer in Tokyo places an order to buy 500 shares of a U.S. stock through your platform. Your system processes the trade. Settlement will occur on March 13th (T+1). But here’s the […]
When Off-Boarding Blindspots Cost $150K: The Wells Fargo Warning FINRA’s May 19, 2025 enforcement action against Wells Fargo Clearing Services tells a story that should make every operations manager check their vendor access logs. The facts are stark: from January 2014 through March 2022, Wells Fargo failed to revoke access credentials for 67 former employees […]
Government Shutdowns and Regulatory Compliance: What Brokers Need to Know When talk of a U.S. government shutdown surfaces, most headlines focus on the political drama and potential impacts on the economy. But for brokers, custodians, and investment advisors, the real concern is regulatory oversight—what happens to compliance obligations when the SEC and other agencies scale […]
Strengthening Compliance in Finance: Lido Advisors Welcomes Former SEC Leader Elena Ro In today’s fast-paced financial world, staying compliant is essential for sustainable business growth. The recent appointment of Elena Ro, a former SEC leader, as the new compliance chief at Lido Advisors underscores the critical role of regulatory adherence in the financial services sector. […]
The Hidden Risks of Ad-Hoc Document Management: Why SharePoint Isn’t Enough for Financial Compliance The recent SharePoint on-premises security breach serves as a stark reminder of the vulnerabilities that financial institutions face when relying on general-purpose platforms for mission-critical compliance processes. While many broker-dealers have turned to SharePoint for managing crucial documents like Letters of […]
Beyond Excel: Financial Compliance in the Digital Age In today’s financial services arena, many firms still lean heavily on Excel spreadsheets for handling essential regulatory compliance tasks. As much as Excel has been a reliable tool for years, the modern, intricate regulatory environment requires more advanced solutions. With evolving regulations, the limitations of Excel become […]
Mastering SEC Compliance in 2025: Strategies for Broker-Dealers Navigating the SEC Division of Examinations 2025 Priorities In the ever-evolving landscape of financial regulations, broker-dealers constantly juggle a complex web of rules aimed at ensuring transparency and adherence to legal standards. This post takes a comprehensive look at the SEC Division of Examinations’ priorities for 2025, […]
Prevent Compliance Breakdowns: Discover How Loffa Solutions Shields Broker-Dealers In the fast-paced world of financial services, compliance is more than just a formality—it’s the backbone of a broker-dealer’s reputation and future success. As regulatory frameworks expand and the costs of non-compliance skyrocket, firms need technological safeguards to navigate these challenges. This is where Loffa Interactive […]
Navigating Regulation: Key Takeaways from FINRA’s Action Against Tifin Private Markets In the constantly shifting dunes of financial regulation, staying on top of enforcement actions is more than just being compliant—it’s about being smart and forward-thinking. The Financial Industry Regulatory Authority (FINRA)’s disciplinary move against Tifin Private Markets is a booming cannon across the bow […]
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