GMG Continues Supporting Dark Pool Initiatives in Iight of increased Regulatory Focus

In Q1 of 2015, the GMG Regulatory & Compliance practice continued work in the Dark Pool space to ensure potential changes and enhancements to client’s ATS matching engine were consistent with regulatory expectations, enhanced control requirements and best practice.  GMG interviewed all critical staff members, reviewed real time and historical trade data, control frameworks, matching engine logic, policies and procedures, customer facing documents and regulatory filings, as well as conducted site visits to the client’s data center and technology service provider to ensure practices were in line with Service Level Agreements.

 

 

Gartland & Mellina Group — A Management Consulting Company