Financial Regulation

Article Index for
Financial

Website Links For
Financial

Information About

Financial Regulation

AIMS OF REGULATION

The specific aims of financial regulators are usually:

To minimise 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

U.S. Securities And Exchange Commission (SEC), USA

Irish Financial Services Regulatory Authority , Ireland

Financial Services Authority (FSA), UK

Authorité Des Marchés Financiers (AMF), France

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

Comisión Nacional Bancaria Y De Valores , Mexico

Financial Supervisory Authority , Sweden

Financial Supervisory Authority , Finland (''Rahoitustarkastus'' in Finnish , abbr. RATA)

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