Regulatory Alerts2013-03-25 | 2013-05888Added · Updated
Regulation Systems Compliance and Integrity
The Securities and Exchange Commission proposes Regulation SCI to establish mandatory operational standards for critical market infrastructure entities, including self-regulatory organizations, alternative trading systems, and clearing agencies. The regulation requires these entities to maintain adequate system capacity, integrity, resiliency, availability, and security while implementing rigorous business continuity testing and annual independent reviews. Additionally, the proposal mandates specific reporting and notification procedures for systems disruptions, compliance issues, and intrusions to ensure fair and orderly markets.
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