Regulators（合规）
Regulatory authorities ensure that transactions in the securities markets are undertaken in a manner that ensures the protection of investors and that maintains fair, orderly, and efficient markets.
The work of regulators includes:
- assessing the suitability of various market participants to carry out their business
- promoting the disclosure of important market-related information
- monitoring the business undertaken by banks and other market participants
- monitoring transactions for evidence of insider trading, fraud, or other malpractice
- enforcement of legislation and industry practices