FERC Market Transparency for Compliance
If you're in the energy sector, you’ve probably heard of the Federal Energy Regulatory Commission (FERC). But even if you're not familiar with the ins and outs of this federal agency, there's one key thing to know: FERC plays a critical role in ensuring transparency, fairness, and reliability across U.S. energy markets.
Reporting requirements
Depending on the regulation, reporting requirements can have your firm feeling like they’re bending over backwards to meet compliance demands. ‘Disclose suspicious transactions’, ‘register Beneficial Ownership information’, ‘present employee diversity figures’ … the list goes on.
Regulators drop their mics in their quest to preserve voice comms
As regulatory scrutiny increases around voice capture, it is essential that financial services adopt voice surveillance solutions to prevent market abuse and non-financial misconduct.
MiFID II and MiFIR: Key differences and similarities
The Markets in Financial Instruments Regulation (MiFIR) and the second Markets in Financial Instruments Directive (MiFID II) work in tandem to regulate financial instruments in the European Union (EU).