Challenges For Innovators

Operating as a broker-dealer requires meeting stringent regulatory, technical, and operational challenges. From ensuring the robustness of infrastructure and compliance with complex regulations to managing cybersecurity, data retention, and trade surveillance, broker-dealers must adopt advanced technology and risk management practices. The costs and complexities of meeting these requirements are substantial, and firms must continuously invest in improving their systems to maintain compliance and security while serving their clients effectively.

• Infrastructure requirements
• Compliance Requirements
• Cybersecurity Requirements
• Reporting Recordkeeping Systems
• Data protection Requirements
• Data Retention and Management
• Trade Surveillance and Monitoring
• Other requirements