Oyster Consulting often works with clients after they've been examined by the regulators, and the Market Access Rule (Rule 15c3-5) is no different. It's in your firm's best interest to take a proactive look at your Market Access program and get it in good order, before the regulators do. In this second of 2 podcasts covering the Market Access Rule, Oyster Consultants Joe Sisti and Evan Rosser discuss some of the finer points of a solid Market Access program, including post-trade surveillance, annual certifications and periodic testing.
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