n-Tier x TRADEliance Bullet Point Panel Recap: Rule 605/606
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
Important Reminders for Introducing & Executing Brokers
Despite CATʼs initial implementation, Electronic Blue Sheets (EBS)
remains a regulatory necessity and risk for firms in the wake of
Reddit and Gamestop (GME).
Taking an Automated Approach to the Next Chapter of CAT Excerpt
As Dust Settles from CAT Implementation, Regulators Turn Up Heat on Data Quality – and Broker-Dealers Must Adapt
After years of preparation, discussion and debate, the Consolidated Audit Trail (CAT) is fully live.
We recently partnered with A-Team Group to bring together thought leaders from across the financial services industry for an insightful discussion on the overlaps of data elements within and across reporting regions.
The growing need for a full, end-to-end reconciliation and validation
process for FINRAʼs TRACE Reporting
A closer look at FINRAʼs report and recent TFCE examination program
A closer look at the expanded requirements for CAT CAIS