An Electronic Communication Network (ECN) is a type of computerized system that facilitates trading financial products, such as currencies or stocks, by connecting buyers and sellers directly without ...

In light of the release of FINRA's "2019 Report on Examination Findings and Observations," it's worth discussing the rapidly growing compliance challenges and risks for financial institutions (FIs) in ...

The ability to communicate information is one of the most powerful evolutionary advantages that humans have – if not the most powerful advantage – so why do we so often make a hash of it? The reality ...

On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the Division’s priorities highlight ...

Access methods are multiplexing techniques that provide communications services to multiple users in a single-bandwidth wired or wireless medium. Communications channels, whether they’re wireless ...

SEC examiners are concerned that the way mobile and personally owned communications devices are used by advisers pose challenges in their meeting obligations under the Books and Records Rule and the ...

From a project manager’s perspective, a strong plan is vital to maintain communication with stakeholders across all levels of an organization. While communication may seem to be a fairly light lift in ...