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.

Contents

Aims of regulation

Authority by Country

Unique jurisdictions

See also

External links

Aims of regulation

The specific aims of financial regulators are usually:

★ To minimize financial loss of depositors in banks or policy holders of insurance companies

★ 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

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 Surveilance 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

★ China Securities Regulatory Commission (CSRC), People's Republic of China

★ Comisión Nacional Bancaria y de Valores, Mexico

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.

See also

★ Bank regulation

★ Finance

External links

★ Securities Lawyer's Deskbook from the University of Cincinnati College of Law

★ Securities Law Home Page

★ The Compliance Exchange Jonathan Halsey's financial regulation research resource

★ EU Financial Regulation and Financial Regulators List