Trading Regulations
| Dodd-Frank | ||
| MAR | ||
| MiFID II | ||
| FX Code of Conduct | ||
| Regulation Best Interest | ||
| SM&CR |
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.
Reg BI, which just recently took effect on June 30, 2020, goes beyond existing suitability regulations to fundamentally alter the investor protection process.
By providing advisors a powerful yet simple tool you can proactively ensure they are meeting the needs of their retail customers.
COVID-19 caused many firms to put Reg BI compliance on the back burner. Dave Ackerman has three key lessons to help firms get compliant by June 30.