Financial_regulation

Corporate finance

Working capital management Cash conversion cycle Return on capital Economic value added Just In Time Economic order quantity Discounts and allowances Factoring (finance)

Capital budgeting Capital investment decisions The investment decision The financing decision Capital investment decisions

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Finance series Financial market Financial market participants Corporate finance Personal finance Public finance Banks and Banking 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.

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 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
• Securities and Exchange Commission of Pakistan, Pakistan
• 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

This article is licensed under the GNU Free Documentation License. It uses material from Wikipedia