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WM Sales Practices & Suitability Surveillance
A US based global wealth manager wanted to implement a vendor solution to monitor and provide coverage for sales practice issues to meet its
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Latest Articles and Case studies
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Jan 42 min read
Compliance Business Analysis & Program Management Assistance
A global broker-dealer sought support to streamline and strengthen its core compliance functions, which include firm-wide compliance and
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Dec 31, 20232 min read
US Broker-Dealer Communications Surveillance Vendor Assessment
Faced with escalating regulatory complexity and an outdated lexicon-based surveillance system, a major broker-dealer ...
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Dec 30, 20233 min read
US Wealth Manager - New Managed Fixed Income Business Launch
A US wealth management division of a prominent financial institution aimed to broaden its services by introducing an actively managed
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Dec 30, 20232 min read
US Broker-Dealer Trade Surveillance Assessment
A global broker-dealer wanted to understand exactly how their trade surveillance controls were being operated across all US business lines a
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Dec 30, 20233 min read
Equities OMS Trading Controls Assessment & Testing
An US based global investment bank and brokerage was in the process of building a proprietary order management / execution system (OMS)
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Dec 30, 20232 min read
Implementing Regulatory Compliance: Understanding RegNMS 605 and 606 for Order Execution and Routing Disclosure
In response to the dynamic regulatory landscape and internal operational necessities, a prominent broker-dealer addressed the evolving
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Dec 22, 20233 min read
Electronic Blue sheets (EBS) Assessment
A major broker-dealer engaged RegEdge in performing a comprehensive Electronic Blue Sheets (EBS) reporting assessment across data, process
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