It is impossible to rely on systems that ignore the tremendous amount of data available to us in the transaction history. Post-trade analysis that begins and ends with the days trading activity is simply ineffective.
Ascendant Compliance Spring Conference Recap – Part 2 Preparation is the key to a successful SEC examination. Is your firm prepared? Do you know some of the curveball questions the examiners may use during the initial examination interview, or ways … Read more
Exploring the CCOs Evolving Role Utilizing Technology to Enhance Supervision, Surveillance and Improve Compliance Functions Leveraging Technology for your Business Continuity Plan
2013: Out With the Old, In With the New? Four SEC Examination Issues in the New Year As you get back to business after ringing in the New Year, the SEC may be preparing to give your firm a ring. … Read more