Key Facts: Global Regulatory Requirements Across Major Jurisdictions [July 2018]

The global regulatory landscape is varied and regulators have a host of different requirements applying to financial services.

We’ve summarised and compared the requirements of sixteen financial services regulators around the world – check out our infographic below.

The key requirements considered are:

  • – Is margin forex allowed?
  • – Are CFDs allowed?
  • – Are there any leverage restrictions?
  • – What are the client qualification requirements?
  • – What is the minimum capital?
  • – Is trade reporting required?
  • – Is funds protection offered?
Download the infographic here or view below: TRAction Fintech – July 2018 – Global Regulation Infographic

 

Sophie Gerber

Sophie Gerber

Sophie has worked with some of Australia’s largest financial services organisations in compliance, legal and operational roles. She has also worked with small businesses to provide tailored solutions with a strong understanding of business practicalities as well as obligations to regulators. This strong understanding allows Sophie to effectively engage with not only large financial organisations but also with small businesses. Sophie has an in depth knowledge of compliance and legal obligations for financial services businesses having vast experience in the financial services sector. Sophie continually works with a range of companies in the financial services industry, including OTC derivatives brokers.