SIFMA Google Cloud RegTech Event held at Googles's New York City offices in Chelsea. The event included a very interesting panel discussion, moderated, by CNBC’s Bob Pisani, on emerging technologies used by financial service firms. Most notable was the discussion on how emerging technologies can assist and help transform the way financial service firms manage [...]
New regulations are on the way that will have a major impact on the financial industry. Will you be ready?
On November 15, 2016 The SEC approved the CAT NMS Plan, which governs the creation and operation of the Consolidated Audit Trail (CAT). What is it? The CAT will be the largest comprehensive data repository for securities transactions to date, processing more than 58 billion records (10 terabytes of data) daily. The CAT will collect [...]
I graduated college in May of 1983 and soon realized my dream of making it to the Major Leagues wasn’t going to happen. During my junior and senior years, I worked at Irving Trust, located at 1 Wall Street directly across from the New York Stock Exchange (NYSE). When I graduated, my department manager offered me a full-time job [...]
Google Cloud Platform and STANY are hosting a cocktail reception with a panel discussion the night prior to STANY's annual conference in New York. The panelists from top industry firms will discuss the impact of the Consolidated Audit Trail (CAT) on the trading and financial services community. You'll also meet the top technologists from Google [...]
Global Markets Advisory Group (“GMAG”) is proud to announce that it will be serving in an advisory capacity to FIS working with their Consolidated Audit Trail (CAT) bid team, led by Neil Palmer, CTO, FIS Advanced Technology. FIS is one of three shortlisted bidders. GMAG has been working with FIS since October 2015 and has [...]
NYIF Partners with Exchange Experts to Advise Emerging and Frontier Markets January 19, 2016 09:15 AM Eastern Standard Time NEW YORK--(BUSINESS WIRE)--The New York Institute of Finance announced today that it is partnering with the Global Markets Advisory Group to offer comprehensive consulting services to financial regulators, exchange operators and market participants in emerging and [...]
Last week FINRA published its 2016 Regulatory and Examination Priorities Letter. As in past years, FINRA identified recurring issues as well as new areas that broker-dealers should focus on as part of their regulatory due diligence. This year’s letter is no exception, as examiners will assess supervision, risk management and controls in areas that include: [...]