Overview of Financial Regulations Affecting Market Participants
Summary
This document identifies financial laws and regulatory frameworks that may affect investment advisers, European financial firms, commodity markets, anti-money-laundering work, taxation, broker-dealers, and securities exchanges. Its examples include US statutes and Federal Reserve rules, European directives and regulations, and the Basel capital standards. It also points readers toward longer risk-management lecture notes and suggests collecting concise guides and updates for easier reference.
The material is a categorized inventory rather than a set of cheat sheets: it gives names and, in a few cases, a brief indication of subject matter, but does not explain requirements, compare jurisdictions, or describe how rules affect trading decisions. It provides no analysis, evidence, or assessment of current status. The list is therefore useful as a starting map for identifying topics to research, but it cannot substitute for current legal guidance, and the document does not establish whether every listed item remains applicable or how the rules interact.
Key ideas
- The document groups financial regulations by the kinds of institutions or activities they affect.
- Its examples span US statutes, European frameworks, and international banking standards.
- The list includes rules concerning advisers, commodities, anti-money-laundering, taxation, and securities firms.
- The document advocates collecting concise references and update series for easier regulatory research.
- It names frameworks but does not explain their obligations or confirm their current status.
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# Cheatsheet/summary of financial laws and regulations # Cheatsheet/summary of financial laws and regulations I wonder whether there are or we can collect cheat-sheets for the various international regulations of the financial markets. There is e.g. the Dodd-Frank act for the US. Can we gather cheat sheets for all the other international regulations such as: Basel II/III (with the directives), Solvency II, EMIR, and all those out there? Being a (quantitative) risk manager it is hard for me to follow all of them and soemtimes speaking with customers it looks good to know the basic facts about these regulations - apart from the advantage of knowing them for oneself. Maybe we can gather blog series as well. Then it is easier to stay up-to-date and collect the entries in appropriate software and make it searchable and so on. An example in the Basel world is this blog. - Thierry Roncalli wrote lecture notes on risk management and financial regulation. They cover many things (more or less "everything") on more than 700 pages. The lecture notes will not be updated for the next year as then a book will be published. ## Answer by madilyn (score 16) https://quant.stackexchange.com/a/21554 Here's a few. The categories are not mutually exclusive (e.g. since most investment advisors are obviously affected by tax and short-selling). Investment advisors - Investment Advisers Act of 1940 - Investment Company Act of 1940 - SIPA of 1970 - ERISA of 1974 - JOBS Act of 2012 Europe - Criminal Justice Act 1993 - Financial Services Act 1986 - Financial Services Act 2012 - FSMA 2000 - AIFMD - EMIR - MiFID I/II - Solvency I/II - ESMA MAD I/II and MAR Commodities - Commodities Exchange Act of 1936 - CFMA of 2000 AML - BSA of 1970 - FCPA of 1977 - PATRIOT Act of 2001 Taxation - FIRPTA of 1980 - Taxpayer Relief Act 1997 - Sarbanes-Oxley Act of 2002 Broker-dealers and securities exchanges - Securities Exchange Act of 1934 - Basel I/II/III - Dodd-Frank - FRB Reg D Reserve requirements - FRB Reg M Short selling rules - FRB Reg S Reimbursement for providing financial records - FRB Reg SHO Short selling practices - FRB Reg T Margin requirements
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