CRC Pronounces Forthcoming Whitepaper Addressing Information High quality and Information Integrity Points Impacting Dealer-Sellers
CRC is happy to announce a forthcoming whitepaper written together with Gresham Computing plc addressing information high quality and information integrity points impacting FINRA Registered broker-dealers.
As we’ve all not too long ago discovered in FINRA’s Regulatory and Examinations Priorities Letter for 2016, FINRA is specializing in the next areas particular to broker-dealer information:
- Operational breakdowns particular to modifications from legacy to new compliance programs
- Expertise governance and alter administration practices associated to algorithm upkeep (together with order-routing algorithms)
- Again-office and vendor system modifications
- Lifecycle growth and new system implementation
- Information qc and reporting practices
- Verification of the accuracy of information sources relied upon to conduct monitoring and surveillance
Since CRC’s inception in 2013, our group has devoted itself to serving to monetary companies corporations deal with regulatory points in a sensible and actionable method.
Our forthcoming whitepaper won’t solely pinpoint the problems most / if not all broker-dealers are going through because it pertains to their information administration – it would present perception right into a sensible resolution that can effectively and affordably help broker-dealers in mitigating the discrete regulatory dangers particular to information high quality and integrity.
Join and be among the many first to obtain this unique whitepaper:
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