Digital Transformation Alert

Digital Transformation Alert

July 25, 2018

Financial institutions are faced with evolving and sophisticated methods to commit financial crimes. Accordo has expertise in designing and implementing artificial techniques to detect and prevent these criminal activities.

ICO

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

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

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

New Margin Requirements

April 5, 2018

FINRA member firms will need to comply with the new margin requirements while assessing functional interdependencies across finance, credit risk, KYC/client onboarding, legal and compliance groups.

Consolidated Audit Trail

Consolidated Audit Trail

February 20, 2018

The SEC Rule 613 set forth a National Market System (NMS) Plan to establish and maintain a consolidated audit trail (CAT) of order, quote, execution and linkage of information in the U.S. equities and options market


MiFID II

MiFID II Alert

December 4, 2017

MiFID II will take effect Jan 3rd, 2018 for EU firms. The impact will also be felt by U.S and non-EU firms. Learn about the fiduciary obligations and regulatory requirements for investment managers and affiliates.

Blockchain

Blockchain Alert

November 17, 2017

Blockchain is challenging industry players to fundamentally re-engineer their processes to build a more efficient, secure and cost-effective operating model and unlock sustainable gains and long-term competitive advantage.

External Fraud

External Fraud Alert

November 3, 2017

Fraud threats and cyber attacks are becoming more sophisticated. Financial firms should conduct assessments, enhance anti-fraud controls and establish a robust fraud and cyber risk analytics platform.


Cybersecurity

Cybersecurity 

October 13, 2017

FINRA has increased scrutiny on member firms’ cybersecurity and enterprise risk framework. Accordo’ s publication reviews the latest news trends, regulatory actions and key considerations firms need to consider.

Liquidity Risk Management 

September 26, 2017

FINRA advises financial firms to revisit their liquidity risk-management policies. Broker dealers need to conduct stress tests and establish a continuing process to test for liquidity risk management.