ICO & Cryptocurrency Alert

June 12, 2018

SEC and CFTC have prioritized  firms operating unregistered digital tokens or crypto-exchanges. Accordo can help register your digital token offering and establish a robust compliance program.

Fourth AML Directive

May 11, 2018

The new beneficial ownership requirements determined by FinCEN under its Final Rule and those by the European Commission under the 4th EU Money Laundering Directive  for covered member firms.

FINRA Rule 4210

April 13, 2018

Adhering to the new margin requirements will require investment in resources and time. Accordo and Matrix Applications can ensure the effectiveness of your firm’s strategy around Rule 4210.


New Margin Requirements

April 5, 2018

FINRA member firms will need to evaluate existing functional inter-dependencies and comply with the new margin requirements.

Consolidated Audit Trail

Consolidated Audit Trail

February 20, 2018

The SEC Rule 613 sets forth a National Market System (NMS) Plan to establish and maintain a consolidated audit trail (CAT).

MiFID II

MiFID II

December 4, 2017

MiFID II gives U.S. and Non-EU investment managers and affiliates fiduciary obligations and regulatory requirements.


Blockchain

November 17, 2017

Blockchain challenges industry players to fundamentally re-engineer their processes to build a more efficient, secure and cost-effective operating model.

External Fraud

November 3, 2017

Fraud and cyber attacks are becoming more sophisticated and detrimental. Establish a robust cyber risk analytics platform to counter this growing threat.

Cybersecurity

October 13, 2017

FINRA has increased scrutiny on member firms’ cybersecurity and enterprise risk framework. Firms should be aware of potential threats and vulnerabilities.


Liquidity Risk Management

September 26, 2017

Broker dealers must conduct stress tests to measure liquidity risks. Firms need to establish a continuing process to test liquidity risk management.