Global Financial Gateways
Insurance and Securities Regulation Gateways
The gateways below are your access points for securities and insurance regulators in the United States, Canada, United Kingdom & BVI, Africa, China, Israel, India, Japan, Korea, Latin Exchanges, Malaysia, Mexico, Saudi Arabia ,Dubai, Swiss and other countries:
Special Note: The Global Financial Gateways provide detailed sources in Bank, Insurance and Securities regulation at Regulatory Agencies throughout the United States and Around the World. These gateways were developed at the University of Toledo College of Law and funded by The Heuerman Fund for the Study of Investment Law and Regulation It is now maintained independently by Prof. Emeritus Howard M. Friedman.
Your Firm’s Compliance Process and Procedures
We also strongly suggest that Financial Services Professionals be keenly aware of their firm’s compliance process and procedures. This is your job. Consult with your compliance officer and your firm’s compliance guides regularly.
Global Stock Exchanges Gateways
- The World Federation of Stock Exchanges: Trade association of 52 publicly regulated stock, futures and options exchanges. WFE Stock Exchange List
- Stock Exchanges Worldwide: The Lists and Links of world's major stock exchanges and other exchange resources. Major Exchange List
- The Dhaka Stock Exchange: The exchange maintains a great resource for Global Stock Exchanges
- Rutgers University Guide To Stock and Commodity Exchanges:
This resource gives us access to Latin America & the Caribbean Stock Exchanges. It also serves as a Global Resource to stock and commodity exchanges, including those dealing in futures, options, and derivatives, as well as electronic communications networks (ECN) and alternative trading systems (ATS), and sources for market and stock prices and reports.
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Jim Robinson posted on Sunday, May 22, 2011
Tags: Insurance Regulation, Broker Dealer, Financial Services Regulation, Securities Regulation, Investment Regulation, Stock Exchanges, Investment Advisors, Securities Principal, OSJ, Office of Supervisory Jurisdiction
Posted in: Regulators