Trading Regulations
| Dodd-Frank | ||
| MAR | ||
| 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.
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.
While the FINRA "preparedness reviews" will commence starting November, our compliance regulation experts felt that the implication of the statement was likely misunderstood, read here why.
The Monetary Authority of Singapore (MAS) released a consultation paper highlighting new requirements to protect against market abuse and a trade surveillance best practice guide jointly published with the Singapore Exchange (SGX).