AdminDec 31, 20233 minCase StudyEquities OMS Trading Controls Assessment & TestingAn US based global investment bank and brokerage was in the process of building a proprietary order management / execution system (OMS)
AdminDec 22, 20233 minCase StudyElectronic Blue sheets (EBS) AssessmentA major broker-dealer engaged RegEdge in performing a comprehensive Electronic Blue Sheets (EBS) reporting assessment across data, process
AdminNov 30, 20236 minArticleCountdown to Compliance: Preparing for EMIR Refit Go-Live in 2024The European Market Infrastructure Regulation (EMIR) Refit is set to go live in 150 days under the European Securities and Markets...
AdminNov 27, 20233 minArticleSEC Rule 10c-1a: Driving Transparency and Reporting in Securities Finance TransactionsOn Oct 13, 2023, The Securities and Exchange Commission (SEC) adopted a new rule, identified as final Rule 10c-1a, under the Securities...