Financial regulation


Financial regulation

Financial regulations are a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system. This may be handled by either a government or non-government organization.

Aims of regulation

The specific aims of financial regulators are usually:
* To enforce applicable laws
* To prosecute cases of market misconduct, such as insider trading
* To license providers of financial services
* To protect clients, and investigate complaints
* To maintain confidence in the financial system


=Authority by Country= :"See main article List of financial regulatory authorities by country"The following is a short listing of regulatory authorities in various jurisdictions, for a more complete listing, please see list of financial regulatory authorities by country.
* U.S. Securities and Exchange Commission (SEC), USA
* Securities and Exchange Surveillance Commission (SESC), Japan
* Investment Dealers Association of Canada (IDA), Canada
* Irish Financial Services Regulatory Authority, Ireland
* Financial Services Authority (FSA), UK
* Autorité des marchés financiers (AMF), France
* Financial Supervisory Commission (FSC), Taiwan
* China Securities Regulatory Commission (CSRC), People's Republic of China
* China Insurance Regulatory Commission (CIRC), People's Republic of China
* China Banking Regulatory Commission (CBRC), People's Republic of China
* Securities and Exchange Commission of Pakistan, Pakistan
* Comisión Nacional Bancaria y de Valores, Mexico
* Security and Exchange Board of India, India

Unique jurisdictions

In Australia, the Australian Prudential Regulation Authority (APRA) supervises banks and insurers. Australian Securities and Investments Commission (ASIC) is responsible for enforcing financial services and corporations laws.

ee also

* Bank regulation
* Finance

External links

* [http://www.law.uc.edu/CCL/ Securities Lawyer's Deskbook] from the University of Cincinnati College of Law
* [http://www.seclaw.com Securities Law Home Page]
* [http://www.compliance-exchange.com The Compliance Exchange] Jonathan Halsey's financial regulation research resource

* [http://www.imf.org/external/pubs/ft/survey/so/2008/RES02408A.htm Ana Carvajal, Jennifer Elliott: IMF Study Points to Gaps in Securities Market Regulation]
* [http://www.iosco.org/library/pubdocs/pdf/IOSCOPD82.pdf IOSCO: Objectives and Principles of Securities Regulation (PDF-Datei 67 Seiten)]


Wikimedia Foundation. 2010.

Look at other dictionaries:

  • Financial services in Japan — refers to the services provided in Japan by the finance industry: banks, investment banks, insurance companies, credit card companies, consumer finance companies, government sponsored enterprises, and stock brokerages.Foreign companiesThere are… …   Wikipedia

  • Financial Services Modernization Act of 1999 — Gramm Leach Bliley Act (GLBA) USA Also known as the Financial Services Modernization Act of 1999. The GLBA repealed provisions of the Banking Act of 1933 (Glass Steagall Act) which prohibited one institution from acting as an investment bank,… …   Law dictionary

  • Financial market participants — Col …   Wikipedia

  • Financial Services Authority — The Financial Services Authority ( FSA ) is an independent non governmental body, quasi judicial body and a company limited by guarantee that regulates the financial services industry in the United Kingdom. Its main office is based in Canary… …   Wikipedia

  • Financial crisis — For the 2008–2010 crisis, see Subprime mortgage crisis , Late 2000s financial crisis and Late 2000s recession. Economics …   Wikipedia

  • Financial Industry Regulatory Authority — In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD).… …   Wikipedia

  • Financial Conduct Authority — The Financial Conduct Authority (FCA),[1] previously known as the Consumer Protection and Markets Authority (CPMA), is a future agency of the Government of the United Kingdom, formed as one of the successors to the Financial Services… …   Wikipedia

  • Financial market — Finance Financial markets Bond market …   Wikipedia

  • Financial ratio — Corporate finance …   Wikipedia

  • Financial institution — In financial economics, a financial institution acts as an agent that provides financial services for its clients or members. Financial institutions generally fall under financial regulation from a government authority. Common types of financial… …   Wikipedia


Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”

We are using cookies for the best presentation of our site. Continuing to use this site, you agree with this.