Financial regulation is the body of laws, rules, and supervisory frameworks governing financial markets, banks, broker-dealers, asset managers, payment providers, and crypto firms. Major regulators include the U.S. SEC, FINRA, CFTC, OCC, FRB, FDIC, FinCEN, CFPB; the UK FCA and PRA; the EU ESMA, EBA, and EIOPA; and global bodies like IOSCO and the Basel Committee. Core frameworks include MiFID II / MiFIR, Basel III, Dodd-Frank, Sarbanes-Oxley, EMIR, PSD2, GDPR, AML / KYC (FATF), and FATCA / CRS reporting.
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- Type: Index
- Position: Consuming
- Access: 3rd-Party
- Financial Regulation, Compliance, SEC, FINRA, CFTC, FCA, ESMA, MiFID, Basel, Dodd-Frank, Sarbanes-Oxley, AML, KYC, FATCA
- United States: SEC, FINRA, CFTC, OCC, Federal Reserve (FRB), FDIC, FinCEN, CFPB
- United Kingdom: FCA, PRA
- European Union: ESMA, EBA, EIOPA
- Global: IOSCO, Basel Committee (BIS), FATF
- MiFID II / MiFIR (EU markets)
- Basel III (banking capital and liquidity)
- Dodd-Frank Wall Street Reform Act (US)
- Sarbanes-Oxley Act (US public company governance)
- EMIR (EU derivatives)
- PSD2 (EU payments / open banking)
- AML / KYC (FATF recommendations)
- FATCA / CRS (cross-border tax reporting)
- Created: 2025-01-01
- Modified: 2026-04-28
FN: Kin Lane
Email: kin@apievangelist.com