Expertise
Prime Brokerage, Portfolio Margin, Margin, SMA, TIMS, SPAN, risk management, operations services, trade capture, trade routing, OMS, central counter party clearance, settlement, futures, equities, options, derivatives, dividends, corporate actions, operations best practices, ACATS, account transfer, asset transfer, funds transfer, custody, procedures, regulatory controls, DTCC, NSCC, CNS, OCC, FINRA & CME examinations, SOX controls,
(For search purposes, not intended to be a comprehensive list)
Expertise
Prime Brokerage, Portfolio Margin, Margin, SMA, TIMS, SPAN, risk management, operations services, trade capture, trade routing, OMS, central counter party clearance, settlement, futures, equities, options, derivatives, dividends, corporate actions, operations best practices, ACATS, account transfer, asset transfer, funds transfer, custody, procedures, regulatory controls, DTCC, NSCC, CNS, OCC, FINRA & CME examinations, SOX controls,
(For search purposes, not intended to be a comprehensive list)
Analytic and testimonial expert witness services related to the securities, futures and derivative industries. Expertise extends to broker-dealer and prime broker operations and margin, clearance, security industry practice and standards, risk based margin and haircuts, portfolio margin, options operations and clearance, TIMS, SPAN, CPM margin, trades processing, and NSCC and CNS settlement processes. Link to http://www.sententiallc.com/paul-carroll-resume.pdf
SER Voting Member
