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ACER (1)
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CFTC (15)
CIRO (8)
EDPB (1)
ESMA (15)
FCA (13)
FINMA (4)
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FTC (2)
ICO (1)
IIROC (1)
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NYDFS (1)
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SEC (14)
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AML (2)
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Compliance Personnel (1)
Conflict of Interest (1)
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Controls and Procedures (1)
Cybersecurity (1)
Data Protection (3)
Data reporting (1)
Discovery (4)
Fraud (2)
General Requirements (14)
Market Abuse (9)
Recordkeeping (32)
Recovery and resolution (1)
Resilience (8)
Risk Management (1)
Supervision (4)
Sustainability (3)
Whistleblowing (2)
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Alternative Investment Fund Manager (1)
Asset Manager (7)
Auditor (3)
Bank (4)
Broker-Dealer (35)
Building Society (2)
Capital Acquisition Broker (6)
Clearing Agency (1)
Commodity Pool Operator / Advisor (6)
Consumer Rating Agency (1)
Contract market member (2)
Credit Institution (6)
Credit Rating Agency (4)
Dealer Member (0)
Derivatives Clearing Organization (2)
Designated Contract Market (1)
EU Business (2)
Financial Adviser (2)
Financial Institution (2)
Financial Market Participant (2)
Financial System provider (4)
Funding Portal (6)
Futures Commission Merchant (5)
Insurance Company (1)
Insurer (7)
Introducing Broker (1)
Investment Adviser (6)
Investment Dealer (3)
Investment Exchange (1)
Investment Firm (17)
Issuer (4)
Law firm (2)
Lender (2)
Major Swap Participant (7)
Market Participants (1)
MSRB (1)
Mutual Fund Dealer (6)
National Securities Association (1)
Payment Institution (1)
Personal data processor (2)
Product Manufacturer (4)
Registered Account Information Service Provider (1)
Retail Bank (10)
Securities Exchange (1)
Solo-regulated Firm (1)
State-chartered Bank (0)
Stock Broker (1)
Swap Dealer (7)
Swap Execution Facility (5)
Taping Firm (1)
Trading venue (4)
US Business (1)
Wealth Manager (4)
Rule/Regulation
|
Jurisdiction
|
Regulator
|
Topic
|
|---|---|---|---|
| California | California AG Office | Data Protection | |
| United States | CFPB | Consumer Protection | |
| United States | CFPB | Consumer Protection | |
| United States | CFTC | Recordkeeping | |
| United States | CFTC | Recordkeeping | |
| United States | CFTC | Discovery | |
| United States | CFTC | Discovery | |
| United States | CFTC | Whistleblowing | |
| United States | CFTC | Market Abuse | |
| United States | CFTC | Market Abuse | |
| United States | CFTC | Recordkeeping | |
| United States | CFTC | Recordkeeping | |
| United States | CFTC | Recordkeeping | |
| United States | CFTC | Business Continuity | |
| United States | CFTC | Fraud | |
| United States | CFTC | AML | |
| United States | CFTC | Recordkeeping | |
| United States | CFTC | Data reporting | |
| Canada | MFDA | General Requirements | |
| Canada | CIRO | Compliance Personnel | |
| Canada | CIRO | Supervision | |
| Canada | CIRO | Recordkeeping | |
| Canada | CIRO | Recordkeeping | |
| Canada | CIRO | Recordkeeping | |
| Canada | CIRO | Recordkeeping | |
| Canada | CIRO |
Business Continuity Resilience |
|
| Canada | CIRO | Business Continuity | |
| European Union | ESMA | General Requirements | |
| European Union | ESMA | Recovery and resolution | |
| European Union | ESMA | Sustainability | |
| European Union | ESMA | Resilience | |
| European Union | ESMA | Resilience | |
| European Union | ESMA | Resilience | |
| European Union | ESMA | Resilience | |
| European Union | ESMA | Resilience | |
| European Union | ESMA | Resilience | |
| European Union | EDPB | Data Protection | |
| European Union | ESMA | General Requirements | |
| European Union | ESMA | General Requirements | |
| European Union | ESMA | General Requirements | |
| European Union | ESMA | General Requirements | |
| European Union | ACER | Market Abuse | |
| European Union | ESMA | Sustainability | |
| European Union | ESMA | Sustainability | |
| United Kingdom | FCA | Recordkeeping | |
| United Kingdom | FCA | Market Abuse | |
| United Kingdom | FCA | General Requirements | |
| United Kingdom | FCA | Accountability | |
| United Kingdom | FCA | Recordkeeping | |
| United Kingdom | FCA | Market Abuse | |
| United Kingdom | FCA | Recordkeeping | |
| United Kingdom | FCA | Resilience | |
| United Kingdom | FCA | Recordkeeping | |
| United Kingdom | FCA | Market Abuse | |
| United Kingdom | FCA | Market Abuse | |
| United Kingdom | FCA | General Requirements | |
| United Kingdom | FCA | Recordkeeping | |
| United States | FINRA | Recordkeeping | |
| United States | FINRA | Risk Management | |
| United States | FINRA | Supervision | |
| United States | FINRA | Supervision | |
| United States | FINRA | General Requirements | |
| United States | FINRA | Recordkeeping | |
| United States | FINRA | Conflict of Interest | |
| United States | FINRA | AML | |
| United States | FINRA | Business Continuity | |
| United States | FINRA | Recordkeeping | |
| United States | FINRA | Recordkeeping | |
| United States | FINRA | Recordkeeping | |
| United States | FINRA | General Requirements | |
| United States | FINRA | Recordkeeping | |
| Switzerland | FINMA | Market Abuse | |
| Switzerland | FINMA | Market Abuse | |
| Switzerland | FINMA | Recordkeeping | |
| United States | US DOJ | Discovery | |
| United States | US DOJ | Discovery | |
| United States | FTC | Consumer Protection | |
| United States | FTC | Consumer Protection | |
| Canada | IIROC | Supervision | |
| New York | NYDFS | Cybersecurity | |
| United States | PCAOB | General Requirements | |
| United States | PCAOB | General Requirements | |
| United States | PCAOB | Recordkeeping | |
| India | SEBI | General Requirements | |
| United States | SEC | Beneficial Ownership Disclosure | |
| United States | SEC | Consumer Protection | |
| United States | SEC | Fraud | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Controls and Procedures | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Recordkeeping | |
| United States | SEC | Recordkeeping | |
| United States | SEC | General Requirements | |
| United States | SEC | Whistleblowing | |
| Switzerland | FINMA | Recordkeeping | |
| United Kingdom | ICO | Data Protection |