Julie Dixon is managing principal at Titan Regulation, a firm she founded in 2011 to provide regulatory advisory services to broker-dealers, investment advisers, hedge funds and other financial firms. She founded Titan in 2011 after a nearly 20-year career in the financial sector.
Prior to founding Titan, Dixon spent most of her career as the head of compliance, most recently as the chief compliance officer of Sun Trading, a Chicago-based proprietary trading firm. She also worked for Citadel Investment Group on two separate occasions - as director of mortgage compliance from 2007-2009, and as head of U.S. compliance from 1999-2004. In between, she headed compliance for Magnetar Capital and Ritchie Capital Management.
Dixon earned a BA in political science in 1992 from the University of Missouri-Columbia. She also completed graduate work in finance and accounting from Loyola University of Chicago.
John Lothian News Interview
SEC Rule 15c3-5 (“Market Access Rule”), finalized in November 2010, is the commission’s response to the May 6, 2010 "flash crash" in which the U.S. equity market plunged nearly ten percent in a matter of minutes, then quickly rebounded. Compliance with the rule, which places risk management controls on any broker-dealer that offers direct trading access, has been required since November 2011, yet firms still have lingering questions about the adequacy of their self-policing programs. Julie Dixon, managing principal at Titan Regulation, discusses the origins of the Market Access Rule and how it affects buy side firms and their trading activity. She also offers advice on how hedge funds and broker-dealers can be sure their programs are compliant, and what a firm may expect during a regulatory audit of its risk systems.
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