VoxSmart Regulations
We address the needs of regulated organisations and their compliance teams around the world. Your workforce can communicate in confidence, in any way they need to.
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AIFMD
Effectively monitor and prevent systemic risk and market disruptions.
The Alternative Investment Fund Managers Directive (AIFMD) is a regulatory framework that applies to EU-registered hedge funds, private equity funds, and real estate investment funds.
MiFFID II
Report complete and accurate details of their transactions to their competent authorities.
MiFID II is a legislative framework instituted by the European Union (EU) to regulate financial markets in the bloc and improve protections for investors. Moving towards a more structured marketplaces, improved best execution, orderly trading behaviour within markets and more explicit costs for both trading and investing.
EMIR
Mandate reporting of all derivatives to Trade Repositories (TRs). EU EMIR & UK EMIR (December 2020).
TRs centrally collect and maintain the records of all derivative contracts. They play a central role in enhancing the transparency of derivative markets and reducing risks to financial stability.
Regulatory requirements are separated into three main categories: transaction reporting; clearing and risk mitigation.
SM&CR
Increase focus on corporate accountability and raise standards of professional behaviour.
The SM&CR aims to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence.
MAR
Increase market integrity and investor protection.
The Market Abuse Regulation (MAR) updates the regulatory regime for market abuse, establishing new offences and implementing easier enforcement
The MAR compliance process is comprised of four distinct phases: identification, mapping, monitoring and reporting.
UCITS
Allow for the sale of cross-Europe mutual funds.
Undertakings for Collective Investment in Transferable Securities
Set of voluntary rules which many ETFs follow. ETFs which are UCITS compliant must follow minimum standards – that includes holding a diversified portfolio, publishing clear guidance on their charges and taking steps to safeguard investors’ money.
Dodd-Frank
Promote the financial stability of the United States by improving accountability and transparency in the financial system.
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a law that regulates the financial markets and protects consumers. Enacting stricter oversight on banks while expanding protections for consumers and taxpayers.
MAS
Adapt and supervises all financial goings-on while ensuring high levels of transparency and disclosure.
High-level outcomes for financial institutions to promote ethical behaviour, responsible risk-taking, accountability of senior managers and reinforcement of good conduct among staff and business.
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