top of page
Home
Services
All Services
Communication Surveillance
Control Room Compliance
Financial Crimes Prevention
Firm-wide and Conduct Risk Compliance
Governance, Risk and Compliance
Information Lifecycle Management
Legal Technology
Non Financial Regulatory Reporting
Risk and Regulatory Control
Testing and Assurance
Trade Surveillance
Wealth and Asset Management
About Us
Resources
Contact Us
Real stories, smart ideas, and practical takeaways from our work in compliance, risk, and regulatory change.
All Posts
Case Study
Article
Blogs
Electronic Blue sheets (EBS) Assessment
A major broker-dealer engaged RegEdge in performing a comprehensive Electronic Blue Sheets (EBS) reporting assessment across data, process
Case Study
Admin
Dec 22, 2023
3 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...
Article
Admin
Dec 18, 2023
6 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...
Article
Admin
Dec 4, 2023
5 min read
bottom of page
