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".
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.
Guest Blog Post by Virginie O’Shea, Research Director Aite Group about the recent FCA fines for a large global financial institution related to noncompliance with both MAR and MiFID II.
As part of Opimas’s recently published research report, "Outsourcing at Asset Managers -2022", a simple graphic pulled in a flood of inquiries about the findings – the findings weren’t necessarily what some readers may have expected.
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