Review Of Securities Regulation Podcast References

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Based in the firm’s new york office, chris experience as a regulator will play a key role expanding hka’s cyber security and privacy services. In 2020, finra and the ce council embarked on the biggest transformation of the continuing education program in 25 years. The central securities depositories regulation’s (csdr) settlement discipline regime (sdr) has been extended to february 1, 2022.

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On this episode, we learn what firms and reps can expect and why these changes will have such a big impact. Guests on the insecurities podcast keep listeners current on the latest securities regulatory and enforcement developments. Listen to henry raschen, director, regulatory outlook at hsbc’s securities services and claire harrop, senior associate in the financial institutions group at freshfields, discuss dora’s content, progress and implications for.

Chris Joins Hka From The U.s.

Risks and approaches to the new normal. In this episode connor craven looks into and unpacks tech industry regulations. How swift’s strategy supports the global capital markets community

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Securities and exchange commission, where he served as the senior cybersecurity advisor to the chair and as head of cybersecurity for. ‎show dallas business podcast, ep 32. The firm routed customer orders to its own ats before routing any part of the order to an exchange of the customer’s preference, finra said.

Nazak Nikakhtar Discuss How The Government Is Approaching Legal And Regulatory Actions To Address National Security Risks Posed By Uas, Areas That May Require Regulatory Action, And The Future.

Guest ruston miles of bluefin joins dave to discuss compliance regulation as it relates to the payment security space, dave and been share some follow up from listener casey on making constitutional amendments easier and rule 407 of the federal rules of evidence as it applies to cyber incidents, ben looks at the recent russian takedown of alleged revil. On 25 november 2021, the european commission (ec) published a legislative proposal amending the alternative investment funds managers directive. Every episode showcases practitioner perspectives on changes within the securities field.