Industry analysis, product news, and thought leadership from Loffa Interactive Group's team of settlement technology and compliance experts.
T+1 has compressed your funding, settlement, and exception‑handling windows, but it doesn’t have to be a permanent source of stress for your teams. With the right workflows, T+1 can actually sharpen your liquidity picture, reduce fails, and give your firm a real operational edge. For managing directors and heads of operations, the question is no […]
Settlement got faster. Documentation didn’t. That gap is becoming a compliance problem. When the Examiner Asks for “Current” Picture this: it’s Q2 2026, and a mid-sized hedge fund is three days into a routine SEC examination. The staff requests copies of all current prime brokerage agreements — F1SAs, SIA-150s, any amendments executed in the […]
The End of the “Quarterly Scramble”: Why 2025 Changed the Recordkeeping Game For decades, the quarterly filing of SEC Form X-17A-5 (the “FOCUS” report) has been a ritualized fire drill for broker-dealers—a frantic, high-stakes aggregation of spreadsheets, email archives, and disparate data points. But the regulatory landscape shifted under our feet in late 2024 and […]
Free-riding in a T+1 world: What the SEC’s Freeman case teaches about cash verification, controls, and operational trust The SEC’s September 19, 2025 complaint against Aaron O’Brian Freeman reads like a case study in how small control gaps can be amplified by speed. According to the Commission, Freeman deposited nearly $3.5 million in unfunded checks […]
Empowering Broker-Dealers: Streamline Compliance with Advanced Technological Solutions For broker-dealers, compliance isn’t a sidecar to the business—it is the business. T+1 settlement has shortened operational windows. Recordkeeping enforcement continues to underscore how quickly gaps become liabilities. And clients expect institutional-grade transparency without friction. The firms that thrive in this environment harness technology to eliminate manual […]
SEC’s New Crypto Assets and Cyber Unit: Implications for Broker-Dealers The finance world is buzzing. The SEC’s recent unveiling of a Crypto Assets and Cyber Unit isn’t just news—it’s a game-changer, especially for those in the brokerage game. Here’s the lowdown on what this means for broker-dealers, with a closer look at those it impacts […]
Binance Broadens Horizons: Secures Broker-Dealer License in Brazil for Enhanced Compliance In an exciting development for the financial industry, Binance, a leading figure in the digital asset exchange world, has now expanded its operational compass by securing a broker-dealer license in Brazil. This move underscores a growing trend of regulatory alignment within the crypto […]
SEC Delays Approval of Rule 6500 Series for SLATE: A Closer Look In the rapidly evolving landscape of the securities lending market, the SEC’s decision to postpone the approval of FINRA’s Rule 6500 Series, targeting the Securities Lending and Transparency Engine (SLATE), marks a significant pause in the stride toward enhanced market transparency and efficiency. […]
Navigating the Challenges of U.S. & E.U. Settlement Misalignments in the T+1 Era The push towards a T+1 settlement cycle in the United States has thrown a spanner in the works for financial institutions straddling the U.S. and European Union (E.U.) markets. With the E.U. chilling on its T+2 cycle, we’re seeing some real head-scratchers […]
The T+1 Settlement Conundrum: Navigating the Choppy Waters of Global Settlement Misalignment Introduction: A Quick Dive The leap for the US onto the T+1 settlement raft has been a smooth sail so far—high five for the high affirmation rates and an almost invisible fail rate. But wait, there’s a twist in the tale. As the […]
Loffa Interactive Group: Spearheading T+1 Settlement in Finance The finance sector is on the brink of a revolution, thanks to the trending shift to T+1 settlement. This move is all about slashing risk, cranking up efficiency, and bringing a breath of fresh air to the securities world. And who’s leading the charge in this brave […]
The Sunset of Fax Machines on Wall Street: Embracing the T+1 Settlement Revolution In the whirlwind of finance, where each second translates to value and efficiency is more than a buzzword, the march toward T+1 settlement marks a seismic shift. As the SEC nudges the industry closer to this future, a notable casualty emerges – […]
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