Securities Operations Regulatory Update

Each month, we publish the Securities Operations Regulatory Update (SORU)
as part of our Regulatory Compliance Service.

The SORU is the premier monthly guide to pending regulatory changes relevant to securities operations. Within it you will find updates on key regulatory issues important to securities operations professionals, helpful synopses to better understand reasoning and implications behind new legislation and regulatory changes, and access to critical information regarding impacts to your compliance programs and regulatory requirements.

 

Featured Issue: March 2019

While automation brings speed and efficiency to the markets, it can also bring steep fines when complex automated systems go awry. See this month’s SORU for how technology deficiencies cost one firm over $500,000. Recognizing the increasing complexity of systems development, regulators have also extended the implementation timeframes for certain regulatory initiatives to give firms additional time to make and test systems changes.

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