Trading Regulations
| Dodd-Frank | ||
| MAR | ||
| MiFID II & MiFIR | ||
| FX Code of Conduct | ||
| Regulation Best Interest | ||
| SM&CR |
Regulatory Rules & Regulations
Today's financial markets are surrounded by many rules and regulations, and trading being one heavily regulated area.
We analyzed all important trading regulations and reviewed the specific rules for monitoring and analyzing trading activities. Our Regulatory Experts can advise firms on how to ensure that regulated employees are recorded and monitored in accordance with these regulations.
Check out our latest White Papers on Regulations
The Resource Center is packed with informative white papers, analyst reports, eBooks, brochures, videos and on-demand webinars.
When the pandemic hit, we certainly sensed there would be a strong impact on our social lives. But what was not immediately apparent was the extent that Wall Street and its regulated financial services employees would be affected.
...and regulators will take action against banks which don’t walk the talk. ASIC raised levels of conduct, culture and accountability within financial services businesses, hoping it will make Australian financial markets more transparent and efficient.
In this blog, Paul Cottee explains why the importance of monitoring and surveillance is as great as – if not greater – than ever.