Latest Articles and Case studies

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 18, 20236 min read

Revolutionizing U.S. Treasury Market: SEC's Landmark Decision on Clearing and Broker-Dealer Regulations

The Securities and Exchange Commission (SEC) is historically known for their Christmas Gifts over the years. One such gift was on...

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...