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Shortening the usual settlement cycle will have an effect on market members, akin to broker-dealers, clearing companies, together with these which might be central matching providers suppliers, and RIAs, by requiring modifications to their enterprise practices, pc methods, and expertise options, the alert explains.
T+1 might additionally have an effect on how registrants and different market members adjust to different current regulatory obligations.
The company’s Division of Examinations mentioned it is going to proceed to evaluate whether or not and the way registrants have evaluated the potential influence of the ultimate guidelines on their:
- enterprise actions;
- operations and danger assessments;
- providers; and
- prospects, purchasers, and/or different related events.
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