TRACE Reporting: An Expanding Scope with Increasing Complexity & Enforcement
The growing need for a full, end-to-end reconciliation and validation
process for FINRAʼs TRACE Reporting
Reading Between the Lines: FINRAʼs 2021 Examination Program Report
A closer look at FINRAʼs report and recent TFCE examination program
Large Trader Reporting: A Renewed Focus & New Obligations for CAT CAIS
A closer look at the expanded requirements for CAT CAIS