Harshad Pitkar, who runs a regulatory reporting & risk compliance consultancy in New York, and Alastair Brown, whose prior roles include CEO of Lombard Risk & CIO of RBS International Banking, join Mike Bagguley, formerly COO at Barclays … [Read more...] about Inforalgo, the Capital Markets data automation specialist, has announced two additional high-profile appointments to its board of advisors.
The prestigious appointment to the senior management team will further enhance Inforalgo’s ability to capitalise on growing momentum around its smart data solutions for Capital Markets. Inforalgo, the Capital Markets data automation specialist, has … [Read more...] about Mike Bagguley, Former Barclays International COO & Financial Trading Industry Leader, Backs Inforalgo with Investment & Board Role
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as … [Read more...] about FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
At FINRA's annual conference, execs discussed which rules are being reviewed and gave an update on exam consolidation. There’s “still a lot more to come” in the Financial Industry Regulatory Authority’s top-to-bottom review via its FINRA360 initiative, … [Read more...] about FINRA Pushing Ahead on CAT, Rule Review: CEO Cook
Additional obligations would be imposed on these firms such as requiring them to create reserve accounts to pay unpaid arbitration awards As part of its crackdown on rogue brokers, the Financial Industry Regulatory Authority Inc. has identified 61 firms … [Read more...] about Finra rogue broker rule would affect 61 firms
The capital markets regulatory environment can seem as volatile as everyday trading conditions. Even regulatory reporting vehicles can’t be counted on to remain constant. From February next year, the legacy CTCI tool commonly used for electronic FINRA … [Read more...] about Finding a FIX for electronic FINRA TRACE reporting as the CTCI cut-off looms