Latest Regulatory News and Feature Articles - K3 by BroadPeak

Regulatory Surveillance Webinar

Pragmatic Commodity Surveillance in Unprecedented Times

So boring…we read it so you don’t have to

February 8February 14

Regulatory Reporting Technology

Here’s what you need to know for the CFTC Rewrite for Dec 5, 2022

September 27October 4

Regulatory Uncategorized

This is Probably a Final Warning

candlestick graph

The Trade Repository LandscapeTakes Another Hit

August 1September 28

News Regulatory

The Dodd-Frank Limits Gotcha

April 12April 4

increasing trend graph

News Regulatory

All You Need to Know about SBSR SEC Reporting

April 5March 14

News Regulatory Reporting

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

News Regulatory

CFTC Dodd-Frank Reporting Revisions: Key Takeaways

September 22April 4

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

chess pieces on chessboard

News Regulatory

Navigating CME’s European and Australian Reporting Retreat

Data Regulatory

Three Unvarnished Truths About Trade Surveillance

April 15April 28

person looking at burning city

The Surveillance Catch-22

February 20April 26

rock formation with birds flying above

Surveillance Data: The Stuff No One is Talking About

April 25April 26

Waterloo on green hill

Bitcoin: The Little Waterloo at the CFTC?

March 21April 26

cars driving down road towards mountains

Bitcoin Limits, MiFID II Limits and More

December 4April 26

Position Limits Training from Katten & BroadPeak

September 28July 19

News Regulatory

JPM Fined $800K for Surveillance Failure

August 14July 26

50 mph sign on a road

The Long Arm of MiFID II Limits

April 27July 23

owl eye

News Regulatory

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

April 19October 9

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