In our newest report, we analyze the priorities of several global regulators and highlight ways to keep your firm ahead of the curve and ready for future regulatory changes.
Key insights include:
- An overview of top priorities for SEC, FINRA, CFTC, UK’s Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), Canada’s New SRO, Australian Securities & Investments Commission, Monetary Authority of Singapore (MAS), and the Hong Kong Securities and Futures Commission (SFC)
- An examination of how regulatory attention impacts broker-dealer compliance
- 5 key takeaways for regulatory and compliance leaders to combat market abuse, protect their company and employees, and reduce the risk of penalties and fines
Download the white paper here: