Remove Broker Remove Capital Market Remove Investment Advice
article thumbnail

Unpacking the 20 most impact financial regulations from the last 20 years

The TRADE

ESMA’s rules on AI: AI has been an ever-important theme across the capital markets sphere with regulators looking to ensure innovation does not lead to market disruption. A key aspect of Reg BI is the establishment of a higher standard of conduct for broker-dealers when making recommendations to retail customers.