Capital markets
Issuers, broker-dealers, exchanges, trading venues and market infrastructure.
Overview
Capital markets participants face securities regulation, market conduct and abuse rules, transaction reporting and SRO oversight.
Participants must register, follow conduct and market-abuse rules, report transactions, manage conflicts and meet SRO rules, with surveillance and record-keeping examined closely.
Authorities in this glossary active in it include SEC, CFTC, State securities departments, FINRA, Stock exchanges and CIRO. It sits within financial services.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
Regulators increasingly look at activities and outcomes in this space, so obligations follow the business model rather than the label.
Who it affects
Organisations operating in capital markets, and the vendors who serve them.
Where it sits
Ten linked steps connect where you operate to the proof that you complied.
- 01Jurisdiction
- 02Industry
- 03Activity
- 04Authority
- 05Regulation
- 06Requirement
- 07Guidance
- 08Control
- 09Evidence
- 10Enforcement
Hierarchy
- Part of
- Financial services
Connections
The terms most closely tied to Capital markets. Select one to open it.
What to do about it
- 1List the activities you actually perform.
- 2Identify the authorities and licences those activities trigger.
- 3Scope your obligation library to the sector and its activities.
- 4Set up controls and evidence for the highest-risk obligations first.
From requirement to evidence.
Tag your organisation with this sector and Regulation Layer scopes the obligation library to it.
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