Article Archives - n-Tier Financial Services

About Us

Deep knowledge. Unique expertise. Solutions that transform how clients manage their data and content.

What We Do

We solve complex data problems in the financial services industry with a unique, configurable platform for monitoring and managing critical business processes.

Record of Success

Our success spans a global client base with $22 trillion under management and a market cap over $900 billion for some of the most respected firms in the world.

Expertise that Matters

We provide a unique combination of software and expertise to help firms address data and oversight deficiencies.

Our Team

Learn more about our talented team who bring real-world innovation to some of the financial services industry’s biggest data challenges.

Careers

Join our team in innovating and applying deep industry knowledge of financial services operations, risk, and compliance-related challenges to solve the complex data challenges global firms both large and small.

Partner Program

Build your firm’s revenue by introducing our trusted history of success and best-in-class technology solutions to your clients.

Platform

The n-Tier platform offers a unique, configurable solution for monitoring and managing data completeness and accuracy across critical business processes.

Platform Overview

Begin with a zero-development infrastructure to rapidly engage award winning data management in aggregation, monitoring and reporting.

How We Deliver

n-Tier's platform is flexible enough to fit your business needs, making each solution unique

Designed for Enterprise

Make a positive impact at every level of the organization through enterprise scale designed to reduce cost and risk across your entire organization.

Solutions

Resolve your most complex data challenges with the best-in-class building blocks for data management.

Data Governance

Protect and oversee sensitive client data through state-of-the-art layered access approaches for heightened security and risk mitigation.

Regulatory Reporting

Aggregate regulatory reporting data from different sources while meeting reporting obligations for both validation and research.

Trade Surveilance

Give your data lineage challenges visibility and searchability for your most complex surveillance data paths.

Risk Management

Engage compliance practices from the biggest firms for your changing risk management challenges.

Financial Reporting

Easily organize, summarize, and present your data in presentation-ready formats.

Data Warehousing

Integrate data from any source to monitor completeness and accuracy of your warehoused data.

Probability and Cost Monitoring

Automate daily data reviews across single or multiple OMS platforms for cost and revenue trend insights.

Resources

Expand your outlook through our expert analysis and experience in real world applications of cost-effective solutions.

Whitepapers

Explore n-Tier’s depth of industry knowledge in financial services operations, risk, and compliance-related challenges.

Analyst Reports

Meet the growing challenges of data quality and reporting through the in-depth perspectives of our industry expert collaborations and engagements.

Webinars

Stay current and participate in deep dives of timely and relevant conversations through expert insights and analysis.

Articles

Stay informed with n-Tier's strategies for navigating increasingly complex data and regulatory environments.

Blog Posts

Get n-Tier’s latest information about complex data problems in finance, risk, and compliance and build informed decisions to explore growing data complexity from a perspective of real-world experience.

Events

Stay in touch and get personal by growing your knowledge, network, and community with the latest events on n-Tier's calendar.

News

Keep up to date with the latest news about n-Tier, a trusted global source for enterprise and data governance.

Market Structure Reforms Challenge Broker-Dealers

n-Tier Founder and CEO Peter Gargone comments in Traders Magazine on the SEC’s amendments to Rule 605

Trade Reporting Challenges Require Data Re-think

A WatersTechnology interview with Peter Gargone, CEO of n-Tier Financial Services.

Traders Magazine: Outlook 2024: Peter Gargone, n-Tier

Our very own Peter Gargone sits down with Traders Magazine to discuss 2023 and what he expects for 2024.

Traders Magazine: Outlook 2023: Peter Gargone, n-Tier

Our very own Peter Gargone sits down with Traders Magazine to discuss 2022 and what he expects for 2023.

The First Priority in Data Is to Manage the Compliance Risk

A Future of Finance interview with Peter Gargone, CEO of n-Tier Financial Services.

Markets Media: Outlook 2021: Peter Gargone, n-Tier

Our very own Peter Gargone sits down with Markets Media to discuss 2020 and what he expects for 2021.

FinOps Report: FINRA’s CAT: Customer Account Data Management Challenge

Reporting correct customer data for the next phase of the requirements of the US Financial Industry Regulatory Authority’s Consolidated Audit Trail (CAT) system will end up being a time-consuming and costly exercise in data management for US broker-dealer regulatory reporting, trade compliance and IT managers.

RegTech Insight: FINRA Starts the Clock on OATS Retirement

Peter Gargone of compliance software specialist n-Tier discusses the complexities of the transition, and the importance of implementing proper policies, procedures, governance structures and control processes for your CAT reporting regulatory obligations.

Cowen partners with n-Tier

With n-Tier’s compliance workbench platform, Cowen has implemented an efficient process for aggregating and validating CAT reports from all their external vendors and internal trading systems.

Markets Media: CEO Chat: n-Tier, Peter Gargone

Our very own Peter Gargone sits down with Markets Media to discuss CAT and other important file submission deadlines.