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SEC Examinations: What to Expect When the SEC Is on Its Way
Theodore Eichenlaub highlights trends in SEC expectations and how to approach a risk assessment of your compliance program.
SCI: A Whale of a Regulation
The SEC's Reg SCI weights in at a whopping 742 pages. Here is what you need to know about the oversized regulation.
Stop Using Spreadsheets for Disclosure Management, Says Linedata
The rules for aggregating and calculating disclosures vary tremendously across global jurisdictions, getting well ahead of traditional approaches. Interest in automated solutions rises.
Finra to Focus on Fixed Income ATSs & Algo Providers
Finra CEO Richard Ketchum outlines plans for requiring brokers that use fixed-income "RFQ systems" to provide more pre-trade price transparency to customers. In equities, Finra wants to register firms involved in designing algorithms.
SEC Chairman Discusses Rule Changes on HFT
SEC Chair Mary Jo White discussed HFT and the agency's plans for equity market structure in 2015 in a video interview with Bloomberg Market Makers at the SIFMA annual meeting.
Technology & Compliance Biggest Setback in Social Strategy
Wells Fargo says better social aggregation and search technology will help financial firms put their people back into the social realm.
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