Real stories, smart ideas, and practical takeaways from our work in compliance, risk, and regulatory change.

A US based global wealth manager wanted to implement a vendor solution to monitor and provide coverage for sales practice issues to meet its

A global broker-dealer sought support to streamline and strengthen its core compliance functions, which include firm-wide compliance and

Faced with escalating regulatory complexity and an outdated lexicon-based surveillance system, a major broker-dealer ...

A US wealth management division of a prominent financial institution aimed to broaden its services by introducing an actively managed

A global broker-dealer wanted to understand exactly how their trade surveillance controls were being operated across all US business lines a

An US based global investment bank and brokerage was in the process of building a proprietary order management / execution system (OMS)

In response to the dynamic regulatory landscape and internal operational necessities, a prominent broker-dealer addressed the evolving

A major broker-dealer engaged RegEdge in performing a comprehensive Electronic Blue Sheets (EBS) reporting assessment across data, process