errors – Stone House Consulting, LLC

Trade Matching in the Traditional and Alternative Markets

Pressures from investors and regulators are accelerating the pace of convergence in traditional and alternative asset management organizations and improving standards of practice. At present, in the traditional asset management arena, managers’ and brokers’ records are generally compared on a trade-by-trade basis and custodians are authorized by the managers to settle matched transactions. In theContinue reading “Trade Matching in the Traditional and Alternative Markets”

Investors’ IT Savvy, STP and the Cloud

In advance of chairing tomorrow’s 5th Annual OpRisk Conference in New York, Stone House Consulting’s founding partner, Holly Miller, is interviewed by Eugene Grygo of FTF News in a two-part series. Read what she has to say in this first conversation about the role IT plays during investor due diligence, hidden risks in straight-through processingContinue reading “Investors’ IT Savvy, STP and the Cloud”

Operational Risk #9: Poor Planning and Slow Response Times—Changes in the Firm, the Marketplace and the Regulatory Environment

We’re sorry—the article you are looking for is no longer available on our website. However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds. Purchase your paperback copy or Kindle version!

Tag Archives: errors

Trade Matching in the Traditional and Alternative Markets

Investors’ IT Savvy, STP and the Cloud

Operational Risk #9: Poor Planning and Slow Response Times—Changes in the Firm, the Marketplace and the Regulatory Environment

Operational Risk #5: Naïve Reliance on Technology—The Downside of Automation

#1 Operational Risk: Complacency—Trivializing and Disregarding Risks