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See Ya Lata – Bad Data!

See Ya Lata – Bad Data!

Mitch Avnet
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March 14, 2016

CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers

CRC is pleased to announce a forthcoming whitepaper written in conjunction with Gresham Computing plc addressing data quality and data integrity issues impacting FINRA Registered broker-dealers.

As we’ve all recently learned in FINRA’s Regulatory and Examinations Priorities Letter for 2016, FINRA is focusing on the following areas specific to broker-dealer data:

  • Operational breakdowns specific to changes from legacy to new compliance systems
  • Technology governance and change management practices related to algorithm maintenance (including order-routing algorithms)
  • Back-office and vendor system changes
  • Lifecycle development and new system implementation
  • Data quality controls and reporting practices
  • Verification of the accuracy of data sources relied upon to conduct monitoring and surveillance

Since CRC’s inception in 2013, our organization has dedicated itself to helping financial services firms address regulatory issues in a practical and actionable manner.

Our forthcoming whitepaper will not only pinpoint the issues most / if not all broker-dealers are facing as it relates to their data management – it will provide insight into a practical solution that will efficiently and cost effectively assist broker-dealers in mitigating the discrete regulatory risks specific to data quality and integrity.

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