Regulatory Alerts2023-04-14 | 2023-05775Added · Updated
Regulation Systems Compliance and Integrity
The Securities and Exchange Commission proposes amendments to Regulation SCI to expand the definition of SCI entities to include registered security-based swap data repositories, certain broker-dealers, and additional clearing agencies. The proposed updates strengthen obligations for systems classification, third-party vendor management, cybersecurity, and recordkeeping to address evolving technological risks. The Commission also requests comment on whether significant-volume alternative trading systems and specific broker-dealers should be subject to Regulation SCI requirements.
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