2025 Financial Regulation Outlook: Navigating Priorities and Preparing for the Year Ahead
Get informed in successfully managing new, high-risk industry reporting obligations.
Webinar Recap: Understanding Rule 13f-2 – Your Guide to the SEC’s Updated Short Position Reporting Requirements
Get informed in successfully managing new, high-risk industry reporting obligation.
Rule 13f-2 in Focus: Navigating the SEC’s Latest Short Position Reporting Rules with n-Tier’s Compliance Workbench
n-Tier engages the evolving 13f-2 requirements and implications, ensuring industry compliance through our growing solution suite.
Navigating Regulatory Landscapes: n-Tier’s Journey in 2023
In the ever-evolving landscape of financial regulations, precision and adaptability are paramount for firms aiming to stay ahead.
n-Tier’s Compliance Workbench: A Data-First Approach to Trade Surveillance
n-Tier’s trade surveillance capabilities offer an integrated solution, operating hand-in-hand with our data accuracy and completeness platform.
Webinar Recap
n-Tier x TRADEliance Bullet Point Panel Recap: Rule 605/606
Data Transformation: A Flexible Approach
Explore the importance of data management in managing risk, particularly for sell-side and market-based financial institutions with complex requirements across front-, middle- and back-office functions
FINRA CAT’s Full CAIS (2e) Reporting
Important Reminders for Introducing & Executing Brokers
Electronic Blue Sheets: No End in Sight
Despite CATʼs initial implementation, Electronic Blue Sheets (EBS)
remains a regulatory necessity and risk for firms in the wake of
Reddit and Gamestop (GME).
Where the Rubber Meets the Road: Taking an Automated Approach to the Next Chapter of CAT
Taking an Automated Approach to the Next Chapter of CAT Excerpt