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 Compliance Experts can advise firms on how to ensure that regulated employees are recorded and monitored in accordance with these regulations.
To help keep you informed on regulations, we have compiled the latest headlines and regulatory updates in our Blog "Regulatory Update".
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).
I wrote a white paper that summarizes the dramatic changes and new challenges broker-dealers face as a result of the new Regulation Best Interest that was issued recently by the SEC.
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