CRC Publicizes Forthcoming Whitepaper Addressing Knowledge High quality and Knowledge Integrity Points Impacting Dealer-Sellers
CRC is happy to announce a forthcoming whitepaper written at the side of Gresham Computing plc addressing knowledge high quality and knowledge 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 knowledge:
- Operational breakdowns particular to adjustments from legacy to new compliance programs
- Know-how governance and alter administration practices associated to algorithm upkeep (together with order-routing algorithms)
- Again-office and vendor system adjustments
- Lifecycle growth and new system implementation
- Knowledge 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 providers companies handle regulatory points in a sensible and actionable method.
Our forthcoming whitepaper won’t solely pinpoint the problems most / if not all broker-dealers are dealing with because it pertains to their knowledge administration – it would present perception right into a sensible resolution that may effectively and cheaply help broker-dealers in mitigating the discrete regulatory dangers particular to knowledge high quality and integrity.
Enroll and be among the many first to obtain this unique whitepaper:
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