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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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Latest Articles and Case studies
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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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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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