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Coffee & Regs

A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance.

The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, industry partners and RegTech collaborators to help prepare buy-side and sell-side firms for changes on the regulatory horizon.

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XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…

Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…

This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…