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Articles, research and insights.
Article - 8 minutes read
Data Analysis And Data Science: How to Hire for the Right Role
Organizations are increasingly seeking a competitive advantage by utilizing data to find efficiencies and improve processes. Consider the differences between a data analyst and data scientist and how to hire the right one for your organization.
Article - 6 minutes read
T+1 Accelerated Settlement: DTCC Proposal
On February 24, 2021 the DTCC (Depository Trust & Clearing Corporation) released their approach to shorten the US settlement cycle to T+1 and presented the benefits of such a move, while simultaneously highlighting the risks and barriers that firms and the industry will need to traverse.
Article - 9 minutes read
Cryptocurrency: Industry and Regulatory Updates
Cryptocurrency is having its best year yet in 2021. While being one of the few industries to grow in 2020, with recent developments in the U.S. and around the world, virtual currencies are only becoming more popular, mainstream, and accessible.
Article - 4 minutes read
Bank Secrecy Act/Anti-Money Laundering Examination Manual Update
On February 25, 2021, members of the FFIEC released several updated sections and related examination procedures to the Bank Secrecy Act/Anti-Money Laundering Examination Manual that provide instructions to examiners when assessing the adequacy of a bank’s BSA/AML compliance program.
Article - 5 minutes read
Regulation Best Interest: New Standard for Broker-Dealers
On June 5th 2019, the SEC passed its Regulation Best Interest rule by 3-1. The goal is to improve the quality and transparency of relationships, while retaining access to advice relationships and investment products. The rule will impact how advice is currently delivered to retail customers.
Article - 11 minutes read
Key Focus Areas From 2021 SEC and FINRA Priorities Reports
FINRA and the SEC published their annual Risk Monitoring and Examination Reports highlighting the focus areas that member firms will be evaluated on this year. We will cover several focus areas as well as fines that the two regulators levied on their members in Q4 2020, and discuss trends for 2021.