Initial compliance exams will focus on firms' commitment to adopting new requirements
The U.S. SRO will charge fees for reporting Treasuries trades
Balzac’s founder Diana Olsen has achieved success by sticking to her strengths — and you can too
How to protect yourself from risks of insider trading
Direct access, client identifiers and AI top the list
Firms also can use technology to facilitate client onboarding and to make client reporting more engaging and interactive
New compliance targets have emerged from the SRO's data analysis efforts
Machine learning and data analytics will play growing roles in helping regulators find wrongdoing
ShelfMonitor scans for changes to investment products
Why KYC updates have never been more important to your success