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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.
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.
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.
April 5, 2018
FINRA member firms will need to evaluate existing functional inter-dependencies and comply with the new margin requirements.
February 20, 2018
The SEC Rule 613 sets forth a National Market System (NMS) Plan to establish and maintain a consolidated audit trail (CAT).
December 4, 2017
MiFID II gives U.S. and Non-EU investment managers and affiliates fiduciary obligations and regulatory requirements.
November 17, 2017
Blockchain challenges industry players to fundamentally re-engineer their processes to build a more efficient, secure and cost-effective operating model.
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.
October 13, 2017
FINRA has increased scrutiny on member firms’ cybersecurity and enterprise risk framework. Firms should be aware of potential threats and vulnerabilities.
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.