Regulatory and Compliance Updates


December 5th, 2013

NFA Expands FCM Risk Information Requirements


December 4th, 2013

SEC JOBS Act Bad Actor Disqualification Guidance


December 4th, 2013

HK AML Suspicious Transaction Reporting


December 3rd, 2013

UK FPC Mortgage-Lender Affordability Stress Tests


November 13th, 2013

SEC JOBS Act Exemptions and Rule 144A Resales


Recently Published Articles by Reg-Room

Read the latest in Regulation, Compliance and Governance


Published Article November 8th, 2012

Dodd-Frank, strong regulation on track after election gives Obama new term


October 15th, 2013

Regulatory Risk Report 10-01-13



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