News and Events
STANY Member Spotlight: Mark Davies
This month’s spotlight is on new STANY Associate Member, Mark Davies. Davies is Co-Founder and CEO of S3, a full-service compliance and trade analytics software company that services many of the world’s largest financial institutions and exchanges. S3’s extensive...
S3 Welcomes Sarah Phillips for Marketing and Sales Operations
Austin, TX December 1, 2020 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, today announced the appointment of Sarah Phillips as Vice President of Marketing and Sales Operations. At S3, Phillips will be responsible...
Finops Report: FINRA’s CAT: Customer Account Data Management Challenge
S3 Chief Software Architect Josh Barry speaks with Chris Kentouris at Finops Report, about existing data management challenges with the Consolidated Audit Trail (CAT). by Chris Kentouris 14 November 2020 Reporting correct customer data for the next phase of the...
S3 Launches Concierge Service for Custom Reports
Press Release S3 Concierge provides clients with a dedicated data expert to produce custom reports from specifically requested data and formatted to preference Austin, Texas, 07 October 2020 –S3, a leading provider of trade surveillance,...
S3 Concierge Launch
Finops Report: CAT: FINRA’s Exams, Deadlines Won’t Be a Virtual Breeze
S3 Chief Software Architect Josh Barry speaks with Chris Kentouris at Finops Report, about existing challenges that exist with the Consolidated Audit Trail (CAT) ahead of upcoming deadlines. by Chris Kentouris 12 September 2020 Trade compliance, regulatory operations,...
Markets Media: RegTech Q&A with Mark Davies, S3
S3 CEO Mark Davies speaks with Terry Flanagan about the latest regtech updates, SEC Rule 606, and how the S3 team has been operating during the pandemic in the latest Markets Media article by Terry Flanagan 18 August 2020 What has it been like leading S3 through...
S3 Certified for CAT Production by FINRA
Press Release FINRA grants S3 CAT Reporting Agent status augmenting S3’s CAT reporting technology already utilized by several major financial institutions. Austin, TX, 27 April 2020 S3, a leading provider of all-in-one compliance solutions, announced today that...
Traders Magazine: S3’s Davies on SEC Rule 606 Delay
John D'Antona, Editor of Traders Magazine speaks exclusively to S3 CEO Mark Davies on the delay of SEC Rule 606 by John D'Antona 1 April 2020 The current COVID-19 pandemic has forced a change in the amended Rule 606 timeframe. Last week the Securities and Exchange...
Finops Report: New Trade Execution Transparency Tests Data Exchange
S3 CEO Mark Davies discusses the new SEC Rule 606 reporting format and what asset managers can glean from these reports by Chris Kentouris 18 March 2020 Complying with a new US regulatory requirement for brokers to give investors more information on trade routing...