Capital Markets Compliance

Capital Markets, in short, is a platform where investors and business seeking to raise capital to fund their business operations are met.

There are many different transactions that can take place in Capital Markets, including equity or debt securities, commodities, FX or derivatives.

Since large capital is being exchanged here the regulations are very strict. Regulators from all around the world provide regulatory guidance for all the parties involved.

Investors, intermediary actors and business raising funds must adhere to these severe regulations to maintain the trust in this very sensitive environment. 

In the EU, MiFID and MAD/MAR regimes are the most notable regulations in respect of Capital Market regulations.

These sets of rules provide clear guidance on required activities and responsibilities among the different actors.