Trading Regulations
| Dodd-Frank | ||
| MAR | ||
| MiFID II & MiFIR | ||
| FX Code of Conduct | ||
| Regulation Best Interest | ||
| SM&CR | ||
| FCA’s Consumer Duty |
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.
The Hong Kong regulator issued a statement concerning manipulation schemes, where small-cap stocks have been ramped up by fraudsters before they sold out at a profit.
Paul Cottee shines his light on the latest ESMA Report on pre-hedging. The Report shows there were divergent views around many components of the pre-hedging process but finds insufficient evidence to ban the practice outright.
In this Blog, Ozzie Berrios explains why the FCA will likely continue to refine the Consumer Duty guidance in order to give the different types of companies more clarification regarding the requirements.