Financial regulation

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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 1 Aims of regulation 2 Authority by Country 2.1 Unique jurisdictions 3 See also 4 External links

[edit] 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

[edit] 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
• Commodity Futures Trading Commission (CFTC), USA
• Federal Reserve System ("Fed"), USA
• Federal Deposit Insurance Corporation (FDIC), USA
• Office of the Comptroller of the Currency (OCC), USA
• National Credit Union Administration (NCUA), USA
• Office of Thrift Supervision (OTS), 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
• Securities and Exchange Board of India, India
• 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
• Comisión Nacional Bancaria y de Valores, Mexico

[edit] 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.

[edit] See also

• Bank regulation
• Finance

[edit] 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

• Ana Carvajal, Jennifer Elliott: IMF Study Points to Gaps in Securities Market Regulation
• IOSCO: Objectives and Principles of Securities Regulation (PDF-Datei 67 Seiten)
• The Samuel & Ronnie Heyman Center on Corporate Governance The Samuel & Ronnie Heyman Center on Corporate Governance
• FSA Regulation in the UK Simply Compliance Ltd for information on FSA Regulation in the UK
• Rahul Prabhakar, "And Then There Was One: Conglomeration, Internationalization & the Formation of Consolidated Financial Supervisors," SSRN 3/2009