November 19, 2019 Proposed Amendments to Transaction Cost Calculations under PRIIPs The European Supervisory Authorities (ESAs) recently issued a consultation paper that includes two draft proposals for changes to transaction cost…
November 13, 2019 Introducing the Regulatory Book of Record (RBOR) I recently had the opportunity to sit down with our Chief Product Officer Ronan Brennan to discuss regulatory data management…
Juli 12, 2018 With New Risk Alert, SEC Doubles Down on Best Execution On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…