Financial Services Professionals work in a very heavy regulated and compliant environment.
Financial, Insurance and Securities Regulation must be adhered to by advisors, agents and planners at all times. This compliance process flows to people working in support roles in regional and district offices.
Multicultural Financial Services Professionals will evoke the wrath of international regulators if they violate securities and insurance compliance regulations in these countries.
Financial Regulation is Global
Most countries throughout the world have their own laws regulating the types of securities, investment and insurance products offered to their citizens and residents. Every state in the United States of America has insurance and investment compliance regulations.
We give you insightful information on the regulators and what you need to do to get along with them. We also give overviews of the Securities Exchanges in the United States. Stock markets in the United States are regulated on a federal level, and on state level. We take a look at both.
Currently, the Insurance Industry in the U.S is regulated primarily on the state level. We give you insightful information on the regulators and what you need to do to get along with them. We also give you insight on the pros and cons that is being discussed by U.S. Regulators, Insurance Industry and Special Interest Groups for the new Federal Insurance Department.
We will also take a look at the Registered Investment Advisor (RIA) licensing and registration in the USA and other countries. We do this because it is important to professionals working in an ever-growing multicultural financial society.
Financial Gateway
Don't see the country you are looking for? Then take the Financial Regulators Gateway . We provide information from:
- Financial Regulators Gateway as a courtesy of The University of Toledo College of Law. This website is designed to provide online access to financial regulatory agencies around the world and to relevant statutes and rules from all jurisdictions.
- Networks Financial Institute
The Networks Financial Institute at Indiana State University help the financial services industry transform itself through better leadership, creative collaboration, and community-based financial literacy initiatives. The Beazley Group Africa and Mideast Political Risk Map
The Beazley Group P.L.C. online risk map for Africa and the Middle East details the threat levels of political violence and political risk for each country in the region, It also provides macroeconomic information and breaking news stories. The map can be accessed at www.beazley.com/riskmap
Your Firm’s Compliance Process and Procedures
We also strongly suggest that Financial Services Professionals be keenly aware of their firm’s compliance process and procedures. This is your job. Consult with your compliance officer and your firm’s compliance guides regularly.
Getting Started
The strategies is this section will help you get a working knowledge of compliance and regulation.
Use the NAVIGATION Menu on the left side, NAVIGATION Buttons above and Google SEARCH on left to get started.