Regulatory¶
The compliance, reporting, and tax frameworks that bound professional trading activity.
Difficulty expert
Reading order¶
- Compliance — KYC, AML, suitability, surveillance
- Jurisdiction Guide — US, EU, UK, APAC regulators at a glance
- Reporting — transaction, position, large-trader reporting
- Tax Implications — short vs long term, mark-to-market elections
- Market Abuse — insider trading, spoofing, layering, wash trades
What you should walk away with¶
- Awareness of the reporting obligations attached to your trading activity.
- A high-level mental map of the major jurisdictions and their regulators.
- A clear understanding of which behaviors are clearly out of bounds.
Nothing in this section is legal advice. Always consult qualified counsel for your specific situation.