FINRA (Financial Industry Regulatory Authority) (U.S.)

FINRA regulates brokerage firms and exchange markets in the United States, ensuring fair and honest markets. Compliance with FINRA rules is essential for maintaining investor confidence and market integrity.

SEC Compliance (U.S.)

The U.S. Securities and Exchange Commission (SEC) imposes rules to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Recent updates include enhanced cybersecurity requirements, emphasizing the importance of robust information security measures.

DORA Compliance (EMEA)

The Digital Operational Resilience Act (DORA) is a regulatory framework designed to ensure that the financial sector within the EU maintains operational resilience in the face of growing digital threats.

Key areas of focus include ICT risk management, incident reporting, digital operational resilience testing, third-party risk management, and information sharing.

GDPR (General Data Protection Regulation) (EMEA)

GDPR regulates data protection and privacy in the European Union, affecting how organizations collect, store, and use personal data.

Compliance with GDPR is crucial for any organization dealing with EU residents' data, ensuring transparency and securing individual rights over their personal information.

Personal Information Protection Law (PIPL) (China)

The Personal Information Protection Law (PIPL) is China’s primary data privacy regulation, similar to the EU’s GDPR. It governs how personal data is collected, processed, and stored within China, focusing on transparency, data security, and individual rights.

Cybersecurity Law (China)

China’s Cybersecurity Law (CSL) sets strict guidelines for network operators to safeguard cybersecurity within the country. This law is aimed at protecting Chinese citizens’ data and ensuring secure digital infrastructure.

Lei Geral de Proteção de Dados (LGPD)

The Lei Geral de Proteção de Dados (LGPD) is Brazil’s comprehensive data protection law, similar to the EU’s GDPR. It governs the processing, collection, and storage of personal data within Brazil, establishing rights for individuals and responsibilities for organizations.

Central Bank of Brazil regulations

The Central Bank of Brazil sets regulations for the financial sector, focusing on the stability, security, and transparency of financial transactions. These regulations govern how financial institutions manage risk, liquidity, and capital adequacy, ensuring a stable and resilient financial system.