Mind the Governance Gap: Data Key to SEC Modernization Compliance

Good data governance plans will be key to compliance with new sweeping legislative changes from the SEC. But for those who haven’t established effective data governance practices—and even for many who have—the changes could prove a steep and arduous uphill climb toward compliance, reports Amelia Axelsen.

These challenges have been costly and complex, leaving both user firms and vendors struggling to develop new data technologies between the SEC publishing the rules in October 2016 and the deadline for compliance this summer. In addition, the SEC has experienced its own problems, including delays to compliance deadlines and a review of security measures in place after a breach of the SEC’s Edgar filing system. 

Despite mounting pressure on the SEC, financial companies, and vendors alike,

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