May 2023 White Paper
Regulation Overview, Coverage of Proposed Rule 615, Exceptions from the Order Competition Requirements, Qualified Auction Requirements, Example of Segmented Order Trade Execution Workflow.
Overview, Compliance Dates, Foreign Branches In-Scope of Guideline Amendments, Regulatory Objectives of Guideline B-10, Regulatory Objectives of Guideline B-13, Third-Party Risk Management Requirements, Technology and Cyber Risk Management Requirements
Regulation Overview, Regulatory Objectives, Compliance Dates, Summary of the Four Rules Being Amended, Definition of “Eligible Secondary Market Transactions”, Requirement for the Separation of House and Customer Margin, Requirement for Access to Clearing and Monitoring of Compliance
Regulation Overview and Timeline, Summary of Proposed Rule Requirements, Investment Advisors Covered By the Proposed Rule, AML and CFT Programs, Proposed Obligation to File SARs and CTRs Instead of Form 8300, Proposed Recordkeeping Requirements, Special Information-Sharing Procedures to Deter Money Laundering and Terrorist Activity
