Beginning in 2009, the Department of Labor undertook a multi-year regulatory project to address the problems with conflicts of interest in investment advice, balancing the need to better protect retirement savings while minimizing disruptions to the many good practices and good advice that the industry provides.
In response to the increasingly automated nature of securities markets and trading activity being widely dispersed across many trading centers, the SEC in 2010 proposed a rule that would require the stock exchanges and national securities associations (SROs) to develop a consolidated audit trail (CAT).
The SEC has now issued new and updated existing rules due to their perception of the robust nature of business continuity plans at some firms, especially as they pertain to the use of 3rd party vendors to perform market critical functions. IM firms need to quickly assess the impact<span. . .
The 2016 FARCON (Financial and Retail Conference on Analytics) took place August 24, 2016. FARCON is Minnesota’s premier event for Data Science in Financial Services and Retail, run by MinneAnalytics, a nonprofit organization dedicated to serving Minnesota’s data science and analytics community.
Trexin Consulting, a management and technology consulting firm, announced today that Stuart Anderson has joined the firm as Senior Principal. Stuart will be joining the Chicago leadership team to expand Trexin's presence in the area. Stuart's focus will be primarily in working with our Financial Services teams utilizing his deep<span. . .
Trexin Consulting, a management and technology consulting firm, announced today that Doren Jacobs has been promoted to the role of Managing Principal leading the Trexin Financial Services Practice. Trexin specializes in the application of advanced technologies that drive business value. “Doren provides our financial service clients with superior experience<span. . .
This article was published by Fortune Magazine on September 25, 2014. Earlier this month, Home Depot confirmed that hackers had broken into its in-store payments system and stolen the credit card numbers of as many as 60 million customers – potentially the biggest breach of a retailer’s computers. Will this<span. . .