Who We Are Consulting content development training Blog

TRADE REPORTING SYSTEMS
ENGAGEMENT SUMMARY

Client
Regional Broker/Dealer

Engagement
Trading and Middle Office staffs needed to better understand the various industry mandated trade reporting systems.
The objective was to establish why there is a need for industry mandated trade reporting, present the various product trade reporting systems and the areas of focus on these systems of regulatory examiners.

Deliverable
We modified our training content for the Trade Reporting function and added the current regulatory focus to meet the client’s needs. We supplemented our training content with adult learning activities to engage client staff. We included self-directed activities for teams and individuals.

Result
The objectives were met along with an increase in compliance with the various systems through a heightened awareness. This topic was incorporated into the firm’s Continuing Ed curriculum. The client eventually transitioned responsibility for their CE to our firm.


GET THE JEREMIAH ASSOCIATES REAL WORLD ADVANTAGE


©Copyright 1999 - 2016 | Jeremiah Associates LLC
39 Island Drive, LakeView Suite, Copake, NY 12516 | 212.363. 8622 | joc@jeremiahassociates.com