Vendor reliability, AI recordkeeping takeaways at GR compliance roundtable
Discussion at the latest session of Global Relay's regular industry meet-up also covered interaction with regulators, non-financial misconduct practice, and market abuse.
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Global Relay hosted its regular quarterly compliance roundtable in the middle of September in London for top-tier banks and brokers; here is what was revealed (all unattributed).
Regulator interaction update by region
APAC regulators
Japanese Securities and Exchange Surveillance Commission (SESC) – SESC operates as an independent investigative and market