Compliance data under review?
Regulators have signalled their intentions and stated “that there needs to be a line in the sand” and that they will “continue to take appropriate action against any firm that fails to meet requirements” and for large sell-side institutions whose transaction reporting has been found to be wanting, that can mean fines in the multi-millions.
Whether reporting firms’ non-compliance is due to systems not fit for purpose, not adequately resourced or performing properly, or whether that is identified by internal audit, regulatory consultant audit or by an on the ground audit by the regulator itself, if you are without the data needed to comply then Forensyx should be your first stop.
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