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

It’s the compliance version of a horror film: You think your reporting is solid—until the regulator sends you a list of breaks you didn’t...

This is the fifth entry in our ongoing RegEdge blog series on trade and transaction reporting. In our previous posts, we explored: Blog...

Following our previous blog on EMIR 3.0 Clearing Thresholds , we now turn our attention to another major regulatory shift: MiFID III —a...

As a continuation of our blog series, this post explores one of the most critical elements under review — the clearing threshold (CT) ...

The European Markets Infrastructure Regulation (EMIR) governs the oversight of over-the-counter (OTC) derivatives, central counterparties...

Blog Series on Regulatory Developments, Challenges, and Best Practices Welcome to the RegEdge Trade & Transaction Reporting Blog Series ,...

The Securities and Exchange Commission (SEC) recently adopted a new Rule 13f-2, as well as an amendment to the NMS Plan which governs the...

In the current landscape, nearly every financial institution is directing its attention toward a triad of critical activities:

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

The U.S. Securities and Exchange Commission (SEC) published its examination priorities on October 16, 2023, which outlines the critical...

The European Market Infrastructure Regulation (EMIR) Refit is set to go live in 150 days under the European Securities and Markets...

On Oct 13, 2023, The Securities and Exchange Commission (SEC) adopted a new rule, identified as final Rule 10c-1a, under the Securities...

The CFTC published its Enforcement Actions Report for Fiscal Year 2023 on November 7th, 2023. This report provides a comprehensive...