Latest Articles and Case studies

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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 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...

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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...

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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...

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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...

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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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