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...

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

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

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...