Global FX Compliance
Comprehensive regulatory intelligence covering jurisdiction-specific frameworks, reporting requirements, and compliance best practices
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Global FX Compliance: Regulatory Intelligence FAQ
Answers about comprehensive regulatory frameworks, reporting requirements, and compliance best practices for professional currency traders worldwide.
Which regulatory jurisdictions does your compliance coverage include?
We monitor: Major regulators (FCA, SEC, CFTC, ASIC, MAS, FINMA), Regional frameworks (MiFID II, EMIR, Dodd-Frank), and Emerging market authorities (CySEC, DFSA, FSCA). Each jurisdiction receives tailored analysis of licensing requirements, reporting obligations, and enforcement trends specific to currency trading activities.
How do you help traders navigate best execution requirements?
Our compliance toolkit includes: 1) Execution quality scorecards comparing broker performance, 2) Transaction cost analysis (TCA) templates meeting MiFID II Article 27, 3) Order record-keeping protocols with timestamps, and 4) Periodic review checklists demonstrating ongoing monitoring. We provide jurisdiction-specific implementation guides for US/EU/APAC regulations.
What reporting systems do you offer for EMIR/MiFID II obligations?
We provide: 1) Automated trade repositories for EMIR swap reporting, 2) Transaction reporting modules meeting RTS 22 requirements, 3) Position limit monitoring for commodity derivatives, and 4) Pre-trade transparency calculators for SI determinations. Systems feature real-time validation against ESMA/FCA technical standards.
How do you address cross-border regulatory conflicts?
Our Compass Framework resolves conflicts through: 1) Jurisdictional hierarchy mapping identifying controlling regulations, 2) Substituted compliance analysis (e.g., CFTC vs FCA rules), 3) Conflict resolution matrices for dual-registered entities, and 4) Brexit transition protocols managing UK/EU divergence. Quarterly updates reflect evolving equivalence determinations.
What tools help prevent market abuse in forex trading?
We deploy: 1) Surveillance algorithms detecting spoofing/layering patterns, 2) Communication archiving meeting MAR Article 16, 3) Pre-trade risk checks blocking manipulative orders, 4) Whistleblower portals with secure reporting, and 5) Training modules covering insider trading risks. Systems align with FCA SYSC 10 and CFTC Regulation 166.3.
How frequently are compliance protocols updated for regulatory changes?
We provide: Real-time alerts for new regulations, 48-hour analysis briefs after announcements, Quarterly framework reviews, and Annual compliance health checks. Critical updates (e.g., LIBOR transition) receive dedicated task forces with implementation roadmaps and impact assessments.