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.
2021 was a wild ride in the world of financial compliance, and 2022 appears to have even more twists and turns in store. In this blog, three compliance experts weigh in on the biggest trends.
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.