Regulatory Rules & Regulations

Today's financial markets are surrounded by many rules and regulations, and trading being one heavily regulated area.

We analyzed all recent regulations, such as Dodd-Frank, MAR, MiFID II and the FX Codes of Conduct, and reviewed the specific rules for recording and surveillance of trading activities. Our Compliance Experts can advise firms on how to ensure that regulated employees are recorded and monitored in accordance with these regulations.

Get in touch and ask for a free consult on how we can assist.

  Contact Us

Regulations imposing Rules for Recording and Surveillance

Follow the latest Compliance News on Twitter @NICECompliance

The Complete Guide to Trade Reconstruction

Download your complimentary copy of the white paper from the Resource Center and learn more about how to automate the trade reconstruction process
Would you like to talk to us?