5 Compliance Challenges that Your Algo Execution Model May be Creating
One core facet of algo execution is AI-powered high-frequency trading (HFT), and there are fears that this could lead to market manipulation by driving large volumes of trades in a way that ...
JD Supra1d
SEC Division of Examinations Issues Registered Funds Risk Alert
Division of Examinations recently issued a Risk Alert citing recent deficiencies observed during examinations of registered funds, including the mischaracterization of environmental, social, and ...
TMCnet2d
More Than a Third of Organizations at Risk of Non-Compliance as Regulatory Complexity Reaches New Heights, Reveals RegASK's Latest Report
The consequences of non-compliance are wide-ranging and severe. Among respondents who admitted to missing regulatory requirements, nearly half (49%) reported delayed or canceled product launches, 40% ...
International Banker5d
DORA Contractual Compliance: A Race Against Time
With the January 2025 deadline nearing, firms doing business in the EU will be feeling pressure to comply with the Digital ...