Regulatory & Compliance Landscape

Lesson 1/1 | Study Time: 1 Min
  • SEC, MiFID II, Basel III, Dodd-Frank



  • Insider trading vs. smart money flow



  • Reporting requirements (13F, Form 4, etc.)






  • Ethical considerations in institutional investing


  • Trading desks and dealing rooms



  • Bloomberg Terminal & Reuters Eikon



  • OMS (Order Management Systems)






  • Risk management systems and internal controls



  • Ayushman

    Ayushman

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