Financial Supervision
Financial supervision
is
government
supervision of
financial institutions
by regulators. The objective is to uphold existing regulations for the financial sector and ultimately to maintain stability of
financial markets
.
Aims of supervision
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
Authority by Country
Securities and Exchange Commission
(SEC),
USA
Financial Services Authority
,
UK
Commission des oprations de bourse
(COB),
France
China Securities Regulatory Commission
(CSRC),
People's Republic of China
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
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