Financial regulation

Anti Money Laundering is a term mainly used in the finance and legal industries to describe the legal controls that require financial institutions and other regulated entities to prevent or report money laundering activities. For example, a bank must perform due diligence by having proof of a customer's identity and that the use, source and destination of funds do not involve money laundering. United States federal law related to money laundering is implemented under the Bank Secrecy Act of 1970 as amended by anti-money laundering acts up to the present. ...more on Wikipedia about "Anti Money Laundering"

The Australian Prudential Regulation Authority (APRA) is the Australian regulator of banks, credit unions, building societies, insurance companies, friendly societies and superannuation funds. It is an independent statutory authority of the Commonwealth Government established under the Australian Prudential Regulation Authority Act 1998. The current chairman of APRA is Dr John Laker and the deputy chairman is Ross Jones. ...more on Wikipedia about "Australian Prudential Regulation Authority"

The Australian Securities and Investments Commission, commonly referred to as the ASIC, is the Australian governing body which has primary responsibility for enforcing and regulating company and financial services laws to protect consumers, investors and creditors. The ASIC is an independent Australian government body which has regulated financial markets, securities, futures and corporations since January 1991. Starting in 1998, ASIC became responsible for consumer protection in pension, insurance, deposit taking and starting in 2002, became responsible for credit. ASIC reports to the Parliament of Australia, the Treasurer of Australia and the Parliamentary Secretary to the Treasurer. ...more on Wikipedia about "Australian Securities and Investment Commission"

Banks are subject to certain bank regulations and requirements that aim to uphold the soundness and integrity of the financial system. ...more on Wikipedia about "Bank regulation"

Basel I is the term which refers to a round of deliberations by central bankers from around the world, and in 1988, the Basel Committee (BCBS) in Basel, Switzerland, published a set of minimal capital requirements for banks. This is also known as the 1988 Basel Accord, and was enforced by law in the Group of Ten countries in 1992, with Japanese banks permitted an extended transition period. Basel I, is now widely viewed as outmoded, and a more comprehensive set of guidelines, known as Basel II are in the process of implementation by several countries. ...more on Wikipedia about "Basel I"

Basel II, also called The New Accord (correct full name is the International Convergence of Capital Measurement and Capital Standards - A Revised Framework) is the second Basel Accord and represents recommendations by bank supervisors and central bankers from the 13 countries making up the Basel Committee on Banking Supervision to revise the international standards for measuring the adequacy of a bank's capital. It was created to promote greater consistency in the way banks and banking regulators approach risk management across national borders. The Bank for International Settlements (often confused with the BCBS) supplies the secretariat for the BCBS and is not itself the BCBS. ...more on Wikipedia about "Basel II"

Blue-sky laws are regulations enforced by state governments. These laws govern the sales of securities in the geographic region, as well as the registration of stock brokers and investment advisors. Each state of the United States has a securities law division. The regulatory boards go by various titles, for example, California has the Department of Corporations and Texas has the State Securities Board. ...more on Wikipedia about "Blue Sky Laws"

Canadian securities are the securities traded in Canada by the properly licensed investment dealers in behalf of private and public investors in an open financial market. ...more on Wikipedia about "Canadian securities regulation"

The Capital Adequacy Directive is a European directive that aims to establish uniform capital requirements for both banking firms and non-bank securities firms. ...more on Wikipedia about "Capital Adequacy Directive"

The China Securities Regulatory Commission (zh: 中国证券监督管理委员会) is an institution of the State Council of the People's Republic of China (PRC). It is the main regulator for the mainland of the PRC. ...more on Wikipedia about "China Securities Regulatory Commission"

The Edge Act is a banking legislation which allows national banks to perform foreign lending through government-chartered subsidiaries. ...more on Wikipedia about "Edge Act"

The Edict on Maximum Prices (also known as the Edict on Prices or the Edict of Diocletian; in Latin Edictum De Pretiis Rerum Venalium) was issued in 301 by Roman Emperor Diocletian. ...more on Wikipedia about "Edict on Maximum Prices"

The Financial Action Task Force on Money Laundering (FATF), also known by the French name Groupe d'action financière sur le blanchiment de capitaux (GAFI), is an inter-governmental body founded in 1989 by the G7. The purpose of the FATF is to develop policies to combat money laundering and terrorist financing. ...more on Wikipedia about "Financial Action Task Force on Money Laundering"

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. ...more on Wikipedia about "Financial regulation"

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The Financial Services Agency is a Japanese government organization responsible for overseeing banking, securities and exchange, and insurance in order to ensure the stability of the financial system of Japan. The agency reports to the Minister of Financial Services. ...more on Wikipedia about "Financial Services Agency"

The Financial Services and Markets Act 2000 is an act of the United Kingdom parliament which created the Financial Services Authority (FSA) as a regulator for insurance, investment business and banking. ...more on Wikipedia about "Financial Services and Markets Act 2000"

The Financial Services Authority (FSA) is an independent non-departmental public body and quasi-judicial body that regulates the financial services industry in the United Kingdom. Its main office in based in Canary Wharf, London, with another office in Edinburgh. When acting as the competent authority for listing of shares on a stock exchange, it is referred to as the UK Listing Authority (UKLA), and maintains the Official List. ...more on Wikipedia about "Financial Services Authority"

The Kiev Bank Union ( ) is a banking association created in 1994 by twenty commercial banks operating in the city of Kiev, Ukraine, for the purpose of cooperation between Kiev's financial institutions, and to manage collective interaction with authorities. The Kiev Bank Union works with Committees of the Verkhovna Rada (the Ukrainian parliament); the National Bank of Ukraine (Ukraine's central bank); the Ukrainian Ministry of Justice, and the tax administration of Ukraine to discuss improvement of banking legislation and other relevant matters. ...more on Wikipedia about "Kiev Bank Union"

Financial analysis of an organisation is misleading when it is used to misrepresent the organisation, its situation or its prospects. ...more on Wikipedia about "Misleading financial analysis"

The Ontario Securities Commission (OSC) administers and enforces securities legislation in the Canadian province of Ontario. The OSC is an Ontario Crown corporation which reports to the Ontario legislature through the Minister of Finance. ...more on Wikipedia about "Ontario Securities Commission"

The financial fraud known as pump and dump (aka "Stock Dump") involves artificially inflating the price of a stock or other security through promotion, in order to sell at the inflated price. This practice is illegal under securities law, yet it is particularly common. While fraudsters in the past relied on cold calls, the emergence of the Internet offered a cheaper and easier way of reaching large numbers of potential investors. ...more on Wikipedia about "Pump and dump"

Securities and Exchange Board of India ( SEBI ) is a board (corporate body) appointed by the Government of India in 1992 with its head office at Mumbai. ...more on Wikipedia about "Securities and Exchange Board of India"

Before 1929, there were few regulations governing trading in securities. In the 1920s there were many abuses in the sale and trading of securities. State Blue Sky Laws were easy to evade by making security sales across state lines. After holding hearings on the abuses Congress passed The Securities Act of 1933. It regulates the interstate sales of securities and made it illegal to sell securities into a state without complying with the state law. It requires companies which want to sell securities publicly to file a registration statement with the U.S. Securities and Exchange Commission. The registration statement provides a lot of information about the company and is a matter of public record. The SEC does not approve or disapprove the issue, but lets the statement "become effective" if sufficient required detail is provided, including risk factors. Then the company can begin selling the stock issue, usually through investment bankers. ...more on Wikipedia about "Securities regulation in the United States"

==What is Selective Disclosure?== ...more on Wikipedia about "Selective disclosure"

The Stock Exchange Executive Council (SEEC) of the People's Republic of China was established to improve the efficiency of the Chinese securities market. ...more on Wikipedia about "Stock Exchange Executive Council" This article is made on http://www.shortopedia.com

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