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 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.

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

• Ana Carvajal, Jennifer Elliott: IMF Study Points to Gaps in Securities Market Regulation
• IOSCO: Objectives and Principles of Securities Regulation (PDF-Datei 67 Seiten)

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