Registration and Compliance Analysis
Group Category: Use Case
Product Category: Database Design & Development
Sub Category: PostgreSQL
Strengthen your SQL expertise with practical registration and compliance analytics for financial professionals.
Business Overview:
Step into the regulatory core of the financial industry with Registration and Compliance Analysis. Created for analysts, compliance officers, and regulatory teams, this SQL-based guide helps you analyze how financial professionals and institutions interact with different authorities. Leveraging a PostgreSQL-compatible dataset of 13 interconnected tables, you’ll use SQL to explore registration market share, status audits, authority overlap, and compliance activity—crucial for risk identification and regulatory planning.
Product Highlights:
- A structured PDF guide featuring 5 SQL-driven compliance-focused use cases
- Real-world business cases centered around regulatory registration data
- Aligned with PostgreSQL relational database standards
- Useful for regulatory analysis, compliance readiness, and audit reporting
- Strong fit for data analytics portfolios and industry preparation
Learning Outcome:
By completing these use cases, you’ll gain skills in:
- Analyzing authority-wise registration market share
- Categorizing registration types and status distributions
- Detecting firms with red-flag status conditions
- Monitoring regulatory activity through status change logs
- Identifying multi-jurisdictional registration overlaps
current_registrations_raw
| CSVThis dataset holds current registration records of financial professionals.
- Includes registration categories, statuses, authorities, and time stamps.
- Ideal for evaluating registration health, market share, and regulatory coverage.
- Enables SQL-based insights into compliance activity and oversight mapping.
current_employers_raw
| CSVThis file contains structured data on current employers of financial professionals.
- Includes firm identifiers and metadata to link professionals with active organizations.
- Supports insights into employer size, structure, and market presence.
- Useful for analyzing workforce distribution and current firm affiliations.
Use Case Document
| PDFThis document provides five SQL use cases to analyze the registration and compliance landscape of financial professionals.
- Covers authority-wise registration distribution, category insights, and compliance health checks.
- Includes tracking of recent status changes and cross-authority registrations.
- Builds SQL skills in data aggregation, filtering, joins, and time-based analysis.
- Designed for analysts aiming to explore regulatory coverage, compliance trends, and oversight gaps.
- Uses structured datasets covering registration types, authorities, and professional affiliations.
- Supports data-driven compliance planning and regulatory reporting strategies.
$2.00 $1.50 25% OFF
About this Dataset:
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