Financial services compliance requirements

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  • Gramm-Leach-Bliley Act (GLBA)

    The Gramm-Leach-Bliley Act (GLB Act or GLBA), also known as the Financial Modernization Act of 1999, is a federal law enacted in the United States to control the ways financial institutions deal with the private information of individuals. Continue Reading

  • What is the Dodd-Frank voice recording rule for the swaps market?

    A Dodd-Frank rule requires swaps dealers to record voice communications, which regulators designed to deter illicit financial activity and improve financial compliance. Continue Reading

  • Dodd-Frank Act

    The Dodd-Frank Act (fully known as the Dodd-Frank Wall Street Reform and Consumer Protection Act) is a United States federal law that places regulation of the financial industry in the hands of the government. Continue Reading

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