top of page
Latest Articles and Case studies
Arjun Thirukonda
Feb 29, 20242 min read
Enhancing Short Sale Disclosures: SEC Rule 13f-2 and Form SHO Reporting
The Securities and Exchange Commission (SEC) recently adopted a new Rule 13f-2, as well as an amendment to the NMS Plan which governs the...
0 comments
Natarajan Venkatasubramaniam
Jan 25, 20246 min read
Firms Grapple with Regulatory Fatigue: CFTC's Approval of Proposed Amendments to Part 43 and Part 45 Requirements Compound Existing Regulatory Burden
In the current landscape, nearly every financial institution is directing its attention toward a triad of critical activities:
0 comments
Admin
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)
0 comments
Admin
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
0 comments
Admin
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
0 comments
Admin
Dec 4, 20235 min read
Navigating Emerging Risks and Enhancing Market Integrity: SEC’s 2024 Examination Priorities
The U.S. Securities and Exchange Commission (SEC) published its examination priorities on October 16, 2023, which outlines the critical...
0 comments
Admin
Nov 30, 20236 min read
Countdown to Compliance: Preparing for EMIR Refit Go-Live in 2024
The European Market Infrastructure Regulation (EMIR) Refit is set to go live in 150 days under the European Securities and Markets...
0 comments
Admin
Nov 27, 20233 min read
SEC Rule 10c-1a: Driving Transparency and Reporting in Securities Finance Transactions
On Oct 13, 2023, The Securities and Exchange Commission (SEC) adopted a new rule, identified as final Rule 10c-1a, under the Securities...
0 comments
Admin
Nov 20, 20234 min read
Vigilant Oversight and Market Protection: Unveiling CFTC's 2023 Enforcement Focus on Digital Assets and Compliance Enforcement
The CFTC published its Enforcement Actions Report for Fiscal Year 2023 on November 7th, 2023. This report provides a comprehensive...
0 comments
bottom of page