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.
The Financial Conduct Authority (FCA) has recently published its guidelines and rules for it’s Consumer Duty. Is the FCA finally putting strong requirements for the UK markets? Read this Blog and see how you can comply.
In this Blog, Ozzie explains why firms are still learning to adapt to the now two-year old Reg BI requirements, and as they do so, fulfilling their duty of care means making an unwavering commitment to step up their game.
Audrey Blater from Coalition Greenwich warns firms that their communications should be appropriately recorded and should not be conducted outside of official channels.