- Blog Posts
Under a new order from SEBI, as of January 1, 2018, financial firms in India must adhere to a new mandate and record all communications associated with orders placed by clients.
Evolving regulatory requirements are creating more challenges for financial institutions around the globe. One operational challenge that plagues firms of all sizes is trade reconstruction.
Data quality is the foundation on which all automated, intelligent applications are built. Without quality data, there’s no basis for intelligent applications in financial compliance.
U.S. firms with direct and indirect ties to EU member states should not be complacent about MiFID II. They need to act with urgency to thoroughly research their exposure.