Trade Reporting and Compliance Engine
This review provides detailed eligible market due diligence for Trade Reporting and Compliance Engine.
Trade Reporting and Compliance Engine is located in United States of America and is regulated by the The Securities Exchange Commission (SEC), The Financial Industry Regulatory Authority, Inc. (FINRA), The Municipial Securities Rulemaking Board (MSRB).
This review will allow users to establish if a market is UCITS eligible and whether Trade Reporting and Compliance Engine is regulated, operates regularly, and is open to the public.
Exchange Reviews
Included within the due diligence review is information on:
General Country Information
- Is the USD freely convertible?
- Is United States of America an OECD or FATF member country?
- What is the corruption score for the United States of America?
- Ease of repatriation of capital.
Market Regulations
- Is The Securities Exchange Commission (SEC) a statutory body?
- What complaints mechanisms are in place?
- Market Surveillance.
Listing Rules
- What are the capital requirements for companies listed on Trade Reporting and Compliance Engine?
- Do companies listed on TRACE have to publish a prospectus and audited annual financial statements?
- Does Trade Reporting and Compliance Engine have the power to delist securities?
Broker and Member Rules
- How are brokers supervised on Trade Reporting and Compliance Engine?
- Does TRACE have a guarantee fund?
- What sanctions can be imposed on brokers?
- What are the capital requirements for brokers on TRACE?
Market Transparency & Trading
- What are the trading hours for Trade Reporting and Compliance Engine?
- What instruments are listed on TRACE?
- Is there daily market information available?
Clearing and Settlement
- What is the settlement cycle on Trade Reporting and Compliance Engine? (e.g T+2, T+3, T+4)
- What is the settlement method on TRACE? (DVP, FOP)
- Is there a Central Counterparty?
- Are securities dematerialized?
- RTGS v Netting?
- How are securities registered?
Liquidity
- No. of Listed Securities
- Market Capitalisation
- Market Concentration
- Market Trading
- Share Turnover Velocity
- Trades Per Day
Key Risks
- What are the key risks of the market?
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Key Features
- 180+ stock market reviews on a single platform
- Comprehensive coverage including emerging markets in Europe, South America, Africa and Asia
- Full consideration of all UCITS eligibility requirements
- Key risks summaries updated weekly
- Continuous dialogue with regulators and exchanges
- Sophisticated platform – daily email alerts, compare and download pdfs and excels.
- Daily news updates
- Review source material available to download ensuring full transparency
Benefits
- Reduce due diligence costs
- Satisfy your UCITS requirements
- Save time analysing stock market eligibility
- Utilise the expertise of our regulatory research team to handle any additional eligible market queries
- Instant access to portal
- Bespoke packages available
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