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SEC Rule 613, Consolidated Audit Trail: Is Your Organization Making Necessary Preparations?

Deloitte Dbriefs | Banking & Securities

Start date and time

August 14, 2014 2:00 PM

End date and time

August 14, 2014 3:00 PM

Time zone:

(GMT-05:00) Eastern Time (US & Canada)

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Host: Bob Walley, Principal - Deloitte & Touche LLP
1 Intermediate CPE Credit: Specialized Knowledge & Applications 

SEC Rule 613 represents a paradigm shift in the regulation of U.S. capital markets. Market participants will need to capture and retain granular trade detail at the beneficial owner level across multiple asset classes and the trade order life cycle. How can you prepare? We'll discuss:

  • Impacts of the consolidated audit trail on order handling and trade reporting systems.
  • Changes to customer information collection processes, client on-boarding, and customer and account relationship platforms.
  • Technology infrastructure, data storage, processing tools, and internal control modifications.

Learn more about how Rule 613 will require transformation of an organization's approach to the design and support of regulatory reporting and surveillance.

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