Regulatory Functions

In a description of the operation of regulation in the trading markets, it is useful to consider the types of regulatory functions that must be performed. In many regulatory organizations, both self-regulatory and governmental entities, these functions correspond to departments or job descriptions (see Figure 4.3).


Figure 4.3 Both governmental and self-regulatory bodies organize based on the groups they oversee and the functions they monitor.

Entity or Function

Because regulatory bodies historically evolved to control the activities of specific market entities such as the buy side and sell side, it is common to find functions ...

Get An Introduction to Trading in the Financial Markets: Global Markets, Risk, Compliance, and Regulation now with O’Reilly online learning.

O’Reilly members experience live online training, plus books, videos, and digital content from 200+ publishers.