Rules and Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance. Below is an exploration of just some of the rules and regulations that Global Relay customers must contend with:
- Bank Secrecy Act of 1970 (BSA)
- California Consumer Privacy Act (CCPA)
- Digital Operational Resilience Act (DORA)
- Digital Operational Resilience Act (DORA): Compliance challenges
- Electronic Communications Privacy Act (ECPA)
- EU Cyber Resilience Act
- FCA Collective Investment Schemes Sourcebook (COLL)
- FCA Consumer Credit Sourcebook (CONC)
- FCA Senior Management Arrangements, Systems and Controls Sourcebook (SYSC)
- FINRA Rule 2010
- FINRA Rule 3110
- FINRA Rule 4511
- FINRA Rule 4530
- FRCP Rule 26
- FRCP Rule 34
- General Data Protection Act (GDPR)
- MiFID II
- Mortgage Acts and Practices (MPAS)
- Prudential Regulation Authority
- SEC Rule 17a-3
- SEC Rule 17a-4
- SEC Rule 204-2
- Senior Managers and Certification Regime (SMCR)
- Sunshine Laws