Finops Report
by Chris Kentouris
21 March 2019
For brokerage trade operations, compliance and IT
managers, giving fund managers a lot more details about where and how their trades were executed to fulfill the US Securities and Exchange Commission’s enhancements to Rule 606 could turn into a major operational headache.
Finops Report, SEC’s New Rule 606: Execution Transparency At a Cost
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Tags: Compliance Reporting, Financial Regulation, SEC 606, SEC Order Disclosure Rule, Trading Technology