• John R.

Are you a SCI Entity? What's in store in 2019?

For those SCI entities that are subject to Reg. SCI compliance, take a look at at this link to OCIE's 2019 Compliance Exam Priorities:

52 views0 comments

Recent Posts

See All

Happy Anniversary BrokerTec!

On June 30th 2000, the BrokerTec system was launched in the US and Europe. Who would have predicted the phenomenal growth that has occurred and that it would make it through two major changes in o

The SEC's 2021 Exam Priorities

For 2021, the SEC has recently outlined the attached list of exam priorities for market participants. Of particular note are the areas of information security and operational resiliency: Information S