Arjun Thirukonda
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...
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Latest Articles and Case studies
Natarajan Venkatasubramaniam
Jan 256 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:
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)
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
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
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...
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...
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...
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...
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