Insights, Archived


Research, white papers and articles

Basel III Endgame
Charlene Fong Charlene Fong

Basel III Endgame

Regulation Overview, Proposed Scope of Rule for Large Banking Organizations, Key Changes to Capital & Disclosure Requirements, Proposed Changes to Risk-Based Capital Ratio Calculations, Regulatory Timelines and Transition Period.

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SEC Marketing Rule
Charlene Fong Charlene Fong

SEC Marketing Rule

Rule 206(4)-1, modernizes regulations for investment adviser advertisements and payments to solicitors, recognizing the impact of electronic media and mobile communications. The rule aims to improve the information available to investors and consolidates the existing advertising and cash solicitation rules into a comprehensive one.

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SEC Regulation NMS – Proposed Amendments
Charlene Fong Charlene Fong

SEC Regulation NMS – Proposed Amendments

Regulation Overview, Amendments to Rule 612 of Regulation NMS – Minimum Pricing Increments, Time Weighted Average Quoted Spread explained, Amendments to Rule 610 of Regulation NMS – Fees for Access to Quotations, Transparency of Better Priced Orders.

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SEC Order Competition Rule
Charlene Fong Charlene Fong

SEC Order Competition Rule

Regulation Overview, Coverage of Proposed Rule 615, Exceptions from the Order Competition Requirements, Qualified Auction Requirements, Example of Segmented Order Trade Execution Workflow.

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SEC Regulation Best Execution
Charlene Fong Charlene Fong

SEC Regulation Best Execution

Overview and Requirements Summary, Tailoring of Policies and Procedures by Order & Security Type, Rule 1101(a), 1101(b), 1101(c), Rule 1101(d), Examples of potential liquidity sources and reasonably accessible information.

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SEC Rule 10c-1
Charlene Fong Charlene Fong

SEC Rule 10c-1

Overview and Requirements Summary, Differences Between SEC 10c-1 and ESMA/FCA SFTR, Regulatory timelines, Real-Time Reporting of Individual Transactions, End of Day Reporting of Aggregate Security Information, Illustration of When to Report Aggregate Information.

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