Trading Regulations

      MiFID II
      FX Code of Conduct
      Regulation Best Interest

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
3 Take-Aways From SIFMA’s Reg BI Forum

SIFMA recently hosted the Regulation Best Interest Vendor Forum in New York. Dave Ackerman was part of the panel "Documenting Best Interest, Supervision and Surveillance," and shares his 3 top of mind take-aways from the discussions.