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An Introduction to Trading in the Financial Markets: Global Markets, Risk, Compliance, and Regulation by R. Tee Williams

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6

Regulatory Actions

We consider regulations in Part 4 of this book; however, regulations, both within countries and among countries, are increasingly related to risk and risk mitigation. Here, we describe briefly a few important regulatory initiatives directed at risk and the control of risk in the trading markets. You should understand that substantially all regulation affects risk in some way, but we focus on those regulatory initiatives that have risk as their primary purpose. Figure 2.6 presents the types of regulatory initiatives that are focused primarily on risk.

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Figure 2.6 Regulatory actions taken both by individual countries and multiple ...

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