Regulatory Archives - K3 by BroadPeak

News Regulatory Reporting

Pigs Fly: We now have Federal Position Limits (Dodd Frank Limits)

News Regulatory Reporting

CFTC Dodd-Frank Reporting Revisions: Key Takeaways

September 22September 22

Legally Robbing Insurance Companies: a Perspective on the Power of Intuitive UX

News Regulatory

Navigating CME’s European and Australian Reporting Retreat

Data Regulatory

Three Unvarnished Truths About Trade Surveillance

April 15April 28

mountain view with trees

The Surveillance Catch-22

February 20February 20

rock formation with birds flying above

Surveillance Data: The Stuff No One is Talking About

April 25August 13

Waterloo on green hill

Bitcoin: The Little Waterloo at the CFTC?

March 21March 21

cars riding down road towards mountains

Bitcoin Limits, MiFID II Limits and More

December 4December 4

Position Limits Training from Katten & BroadPeak

September 28July 19

News Regulatory

JPM Fined $800K for Surveillance Failure

August 14July 26

The Long Arm of MiFID II Limits

April 27July 23

News Regulatory

MiFID II Webinar and Q&A with BroadPeak and Katten Muchin Rosenman LLP

April 19October 9

News Regulatory

MiFID II Webinar Q&A With AIMA, Katten and Broadpeak

March 28July 25

News Regulatory

Conference for ESMA Updates on MiFID/MiFIR/EMIR/SFTR Reporting

March 22October 9

mifid ii

BroadPeak Partners with Unavista for MiFID II Trade Reporting

March 16July 25

News Regulatory

Death, Taxes, and MiFIDII

January 5October 9

News Regulatory

CFTC- Hail Mary?

December 8July 26

Regulatory Technology

MiFID II- Data Validation

December 2October 9

Regulatory Technology

The Demise of Delegated Reporting- MiFID II

November 9July 26

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