Newsroom

Visit Terrence's full profile here, or by clicking above.
 

Visit Richard's full profile here, or by clicking above.
 

Visit Jeff's full profile here
"At the Forefront: Fintech Conversations" podcast episode here
"Outsourced Trading: Streamlining Operations for Enhanced Performance" panel here
 

MEMBER HIGHLIGHT - SER member Jeffrey Estella contributed to a recent article in Traders Magazine entitled, "Trading Smarter With Algo Wheels", written by Anna Lyudvig. The article explores algo wheels in buy-side trading, detailing their evolution, benefits, and risks. Experts discuss their impact on bias removal, execution quality, and automation. It covers various types of algo wheels, their benefits, and future advancements, stressing the importance of data-driven decisions and unbiased implementation.

ROUNDTABLE NEWS - SER Member Colleen Diles moderated an informative webcast titled, "It's Not Just AML" on Anti-Money Laundering with members Ross Delston, David MacNair, and Catherine Mustico on April 18th. They covered a range of topics including AML pillars for broker-dealers and investment advisors, financial crimes, and the current regulatory environment. The session offered insights into the differences between BDs and IAs, and our expert's experiences working on customer, BD/IA, and regulatory matters.


Members can access this webcast and speaker materials in the Library section once they log in.

Visit William's full profile here, or by clicking above.

 

Visit Robert's full profile here, or by clicking above.

ROUNDTABLE NEWS - SER Past President Ross Tulman, and long-time members Jerry DeNigris and Jack Herrmann, hosted an interactive meeting for SER members on March 15th, titled "When & Why Does the Trier of Fact Hit the Off Switch?" Panelists shared their best practices while under oath. The focus was on gaining credibility consistently with panels, juries, and judges as well as other times, such as mediations, where an expert is not under oath. With hundreds of hours on the witness stand individually, each speaker agreed that the expert's obligation under oath is to the trier of fact. At the conclusion, SER member Roger M. Deitz, an experienced counsel, mediator, and arbitrator for over three decades, confirmed that credibility was key to a panel’s accepting expert testimony. He shared with members: "The amount of credibility an expert gains by answering questions, even when the answers may not be helpful to her or his  client, is enormous and materially enhances the impact of all the testimony."  For more SER member events, please check our calendar of Upcoming Events.

MEMBER HIGHLIGHT - SER members Jeffrey Estella and Michael Cashel were recent guests on the podcast: "At the Forefront: Fintech Conversations", hosted by Forefront VP and Head of Content Sam Belden. They discuss 2024 capital market trends, including asset management challenges, brokerage technology perspectives, liquidity complexities, and the role of investment technology providers. They also briefly touch on Mike's involvement with NWTN Motors, a Dubai-based electric vehicle company. Jeff brought the episode to our attention and added "It was a treat to collaborate with Mike on this podcast, and his deep institutional brokerage and technology experience was invaluable.“ When asked about his experience, Michael responded, "It was very kind of Jeff to include me in his collaboration with Forefront. Jeff’s insights into how the buyside approaches the issues we covered are only possible from someone who has devoted his career to the institutional asset management industry." The podcast will be stored in SER's Library for future reference.

Members: To submit a news item to the Newsroom, first log in, then return to this page and press the button that will appear here.