FinregE Laws, Rules and Regulation Inventories

Centralizing Compliance: Your One-Stop Solution for Managing and Demonstrating Adherence to All Laws, Rules, and Regulation

At FinregE, we understand the complexities and challenges of adhering to diverse global regulations.

Our comprehensive solution is designed not just to help you manage but to effortlessly demonstrate compliance across all laws, rules, and regulations relevant to your business. By centralizing your compliance efforts, we offer visibility and control over your regulatory landscape, reducing risks and enhancing operational efficiency.

Empower your regulatory compliance with FinregE to stay ahead of regulatory changes, understand and manage your regulatory landscape and demonstrate compliance via a click of a button.

Global Library, Laws, Rules and Regulations

FinregE Laws, Rules and Regulation Inventories Across Global Regulation

FinregE provides comprehensive inventories of global regulations, enabling users to access a wide array of laws and regulations from different jurisdictions in one consolidated platform. This feature supports compliance by offering an up-to-date and extensive database of international regulatory information, which is crucial for global operations.

Rules, Laws and Regulations

Off-the-Shelf Inventories Organised by Key Regulatory Compliance Areas

FinregE can provide off-the-shelf global and local regulatory rule inventories for key compliance areas such as conduct risk, prudential risk, financial crime, operational resilience, accountability, data privacy and ESG.

All
  • Hong Kong HKMA Circulars
  • Hong Kong SFC Circulars
  • Australia ASIC Financial Markets
  • Australia ASIC Fundraising
  • Australia ASIC Corporate Governance
  • Australia ASIC Takeovers and reconstructions
  • EU MAR
  • EU MIFID II
  • EU MIFIR
  • EU EMIR
  • EU SFTR
  • EU Short Selling
  • France Legislative Part – Monetary and Financial Code
  • FICC Markets Standards Board
  • Global FX Committee
  • Hong Kong SFC Securities and Futures Ordinance
  • Hong Kong SFC Guidelines
  • Hong Kong SFC Corporate Finance Adviser Code of Conduct
  • Hong Kong HKMA Guideline for RPSs
  • Japan JFSA Financial Instruments and Exchange Act
  • Japan JFSA Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc.
  • Japan JFSA Comprehensive Guidelines for Supervision of Financial Instruments Business Operators, etc. (Supplementary Guidelines): Guidelines for Supervision of High Speed Traders
  • Singapore MAS Circulars
  • United Kingdom AIFMD
  • United Kingdom FCA Handbook
  • United Kingdom ICO Guidelines
  • United Kingdom AIFMR
  • United States FINRA Rules
  • EU Consumer Protection Act (No. 38 of 1978)
  • EU Credit agreements for consumers
  • EU PRIIPS
  • EU EBA Guidelines on Credit Worthiness
  • EU Guidelines on Creditworthiness Assessment

EU GDPR

  • United Kingdom LCR – Instructions – C 72.00
  • United Kingdom LCR – Instructions – C 73.00
  • United Kingdom LCR – Instructions – C 74.00
  • United Kingdom LCR – Instructions – C 75.00
  • United Kingdom LCR – Instructions – C 76.00
  • United Kingdom LCR – Instructions – C 77.00
  • United Kingdom NSFR – Instructions – C 80.00
  • United Kingdom NSFR – Instructions – C 81.00
  • United Kingdom NSFR – Instructions – C 82.00
  • United Kingdom NSFR – Instructions – C 83.00
  • United Kingdom NSFR – Instructions – C 84.00
  • United Kingdom ALMM – Instructions – C 67.00
  • United Kingdom ALMM – Instructions – C 69.00
  • United Kingdom ALMM – Instructions – C 70.00
  • United Kingdom ALMM – Instructions – C 68.00
  • United Kingdom ALMM – Instructions – C71.00
  • United Kingdom Asset Encumbrance – Instructions –  F32.01
  • United Kingdom Asset Encumbrance – Instructions –  F32.02
  • United Kingdom Asset Encumbrance – Instructions – F32.03
  • United Kingdom Asset Encumbrance – Instructions –  F32.04
  • United Kingdom Asset Encumbrance – Instructions –  F33
  • United Kingdom Asset Encumbrance – Instructions –  F34
  • United Kingdom Asset Encumbrance – Instructions –  F35
  • United Kingdom Asset Encumbrance – Instructions –  F36.01
  • United Kingdom Asset Encumbrance – Instructions –  F36.02
  • United Kingdom PRA110 – Instructions – Cash flow mismatch
ESG
  • EU SFDR (Sustainable Finance Disclosure Regulation)
  • EU Taxonomy 
  • TCFD (Task Force on Climate-related Financial Disclosures)
  • Brazil Brokers AML Regulation
  • EU MLD5
  • Germany Geld­wäsche­gesetz (GwG) – AMLA
  • UK MLR 2017
  • UK POCA 2002
  • UK TA 2000
  • United States FinCEN Rules
  • EU DORA
  • EU SecReg
  • Australia APRA Prudential and Reporting Standards for Authorised deposit-taking institutions
  • EU EBA Q&As
  • EU SecReg
  • EU CRD III
  • EU CRD IV
  • EU CRR
  • Hong Kong HKMA Supervisory Policy Manual
  • Singapore MAS Securities and Futures Act
  • Singapore MAS Commodity Trading Act
  • Singapore MAS Capital Markets Services Regulation
  • United Kingdom PRA Rulebook
  • United States FDIC
  • United States Federal Reserve
  • United States OCC
  • United States CFTC
  • United States NFA Rulebook
  • United States DOT
  • United States FCC
  • United States NY State
  • United States NY State
  • United States SEC

Harmonised Regulatory Obligations Across Global Rules

Harmonizing regulatory obligations across different jurisdictions is a significant challenge that FinregE addresses effectively. The software aligns similar regulatory requirements from various global rules, helping firms to see overlapping compliance duties and streamline their regulatory processes.

Regulatory Obligations

Control Recommendations

Based on the consolidated and harmonized regulatory obligations, FinregE provides tailored control recommendations. These suggestions are designed to help firms implement effective compliance measures that meet the specific requirements of the regulations they are subject to.

RIG to Write Compliance Policies

One of the most innovative features of FinregE is the Regulatory Insights Generator (RIG), which automates the creation of compliance policies based on the specific regulatory frameworks and obligations applicable to a firm. This tool significantly reduces the time and effort required to draft comprehensive, up-to-date, and compliant policies.

GDPR
FinregE's regulation compliance software solution stands as a pinnacle of innovation in the compliance sector, providing exhaustive inventories of global regulations, organized by critical compliance areas, harmonized obligations, control recommendations, and automated policy generation.
With these capabilities, FinregE empowers financial institutions to efficiently navigate the complexities of global regulatory compliance, ensuring adherence to applicable laws and mitigating risks effectively. This comprehensive approach not only simplifies compliance management but also enhances the strategic positioning of firms within the global marketplace.
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