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.
Latest Blogs on Regulations
Conduct starts from the top

...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.