Rules and Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance. Below is an exploration of just some of the rules and regulations that Global Relay customers must contend with:
- A Guide to CONC
- A Guide to DORA
- Bank Secrecy Act (BSA) of 1970
- California Consumer Privacy Act (CCPA)
- Dora compliance challenges
- Electronic Communications Privacy Act
- EU Cyber Resilience Act
- FCA Coll Sourcebook
- FCA’s SYSC rules
- FINRA Rule 2010
- FINRA Rule 3110
- FINRA Rule 4511
- FINRA Rule 4530
- FRCP Rule 26
- FRCP Rule 34
- General Data Protection Act
- MiFID II
- Mortgage Acts and Practices (MPAS)
- Prudential Regulation Authority
- SEC Rule 17a-4 and 17a-3
- SEC Rule 204-2
- Senior Managers and Certification Regime
- Sunshine laws