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
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.
Webinar Review: Cross-Regulation Data Consistency and Accuracy
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.