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...

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...

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

The Securities and Exchange Commission (SEC) is historically known for their Christmas Gifts over the years. One such gift was on...

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...