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

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