T+1 Accelerated Settlement: DTCC Proposal…
Articles, research and insights.
Article - 6 minutes read
T+1 Accelerated Settlement: DTCC Proposal Highlights & Lessons Learned from T+2
On February 24, 2021 the DTCC (Depository Trust & Clearing Corporation) released their approach to shorten the US settlement cycle to T+1 and presented the benefits of such a move, while simultaneously highlighting the risks and barriers that firms and the industry will need to traverse.
Article - 4 minutes read
Bank Secrecy Act/Anti-Money Laundering Examination Manual Update
On February 25, 2021, members of the FFIEC released several updated sections and related examination procedures to the Bank Secrecy Act/Anti-Money Laundering Examination Manual that provide instructions to examiners when assessing the adequacy of a bank’s BSA/AML compliance program.
Article - 5 minutes read
Regulation Best Interest: An Enhanced Standard of Conduct for Broker-Dealers
On June 5th 2019, the SEC passed its Regulation Best Interest rule by 3-1. The goal is to improve the quality and transparency of relationships, while retaining access to advice relationships and investment products. The rule will impact how advice is currently delivered to retail customers.
Article - 11 minutes read
Key Focus Areas From 2021 SEC and FINRA Priorities Reports
FINRA and the SEC published their annual Risk Monitoring and Examination Reports highlighting the focus areas that member firms will be evaluated on this year. We will cover several focus areas as well as fines that the two regulators levied on their members in Q4 2020, and discuss trends for 2021.
Article - 9 minutes read
ESG Under The Biden Administration
Publicly traded companies are expected to provide comprehensive sustainability disclosures.
Article - 7 minutes read
Retail players: how to take advantage of the strengthening of regulations on equipping commercial buildings with electric vehicles charging stations?
Changes to the Construction Code were passed at the end of 2019. They include the obligations to pre-equip and equip parking lots in electric vehicle charging infrastructure (EVCI) are reinforced by 2021 for new buildings, and by 2025 for existing buildings.