Talk:Permitted disclosures: Difference between revisions
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Amwelladmin (talk | contribs) (Created page with "There are three categories of reason a regulator might require information from us including confidential information: '''Trade/transaction reporting''': Brokers will be obli...") |
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There are three | There are three main reasons a regulator might require confidential information from us relating to a client: | ||
'''Trade/transaction reporting''': Brokers will be obliged to disclose a lot of trade-specific client information to regulators and exchanges every day on account of Dodd Frank and other regulatory reporting regimes (for example MiFID/EMIR trade and trade reporting). You should assume we will do that. | '''Trade/transaction reporting''': Brokers will be obliged to disclose a lot of trade-specific client information to regulators and exchanges every day on account of Dodd Frank and other regulatory reporting regimes (for example MiFID/EMIR trade and trade reporting). You should assume we will do that. | ||