In this episode, Michael Scaplen, Senior Vice President of Sales and Relationship Management at Axos Clearing, hosts an exclusive Axos Clearing Educational podcast for the Power Your Advice series.
Michael is joined by Mark Davies, Co-Founder and CEO of S3. S3 is a full-service compliance and trade analytics software, providing financial industry clients with the intelligence, services, and technology that helps them to make their trades.
Michael and Mark discuss regulatory reporting as it relates to the most recent SEC proposals and CAT solutions. We hear about S3’s position in this space and how the firm is keeping its clients informed and their satisfaction prioritized.
They also discussed:
- The beginnings of S3 and how the company got off the ground
- The target audience of S3 and their customer base
- The evolution of the market and the most significant challenges coming for the S3 client base
- The four regulations proposed by the SEC and the resource of S3 which clients can leverage to keep informed about such changes in the industry
- The S3 CAT (Consolidated Audit Trail) reporting system
- The customized experience S3 provides their clients
- What Mark sees for the future of the firm and the evolution of S3
Resources: Axos Clearing | S3
Related: Finding the Risk, Protecting Financial Stability with Jeremy Franzluebbers