The SEC, NFA, and FINRA all have issued new guidance on cybersecurity since the pandemic began. Currently, examinations by the SEC, FINRA, and NFA focus on cybersecurity and BCP topics. Join us and Agio on meeting these requirements and managing your examinations.
Financial markets and regulations are in a constant state of evolution and some products naturally move to become "exchangified". In this webinar, Julie Dixon (TITAN) and Travis Schwab (EVENTUS) examine the current state of markets and discuss best practices for compliance.