Prudential Resolution and Control Authority. The regulation comes at a second level – if the advice provided involves the presentation and recommendation of any form of investment product or legal structure, the adviser must be qualified to advise on the relevant ‘regulated business’, or ‘profession réglementée’. Association of German Chambers of Commerce and Industry. The Financial Conduct Authority is the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. Our Registry is responsible for nine registers. This Banking Regulation guide provides a high level overview of the governance and supervision of banks, including legislation, regulatory bodies and the role of international standards, licensing, the rules on liquidity, foreign investment requirements, liquidation regimes and recent trends in … This is the AMF’s main decision-making body. Other financial products, such as stocks and shares and banking products – regulated by the new rules governing the ‘CIF’ – Conseil en Investissements Financiers (Adviser on financial investments). Insurance broking – regulated by ACAM (l’Autorité de Controle des Assurances et des Mutuelles) under the control of the Finance Ministry, via the Code des Assurances. FrenchEntrée Online Contributor | Taxation, Publish your own articles to the Community Area. Deutsche Bundesbank. Supervision of the financial sector calls for a strong, competent, independent regulator. Banks; Agents of Banks, etc. This regulation is undertaken through risk-based supervision, underpinned by a credible threat of enforcement. France. The Jersey Financial Services Commission (JFSC) is the financial services regulator for Jersey, Channel Islands. 4. Financial Markets Authority. However, due to the obvious link between financial advice, legal principles and modifications of the law, recent Government instructions have clarified the situation by giving the right to a Conseil en Gestion de Patrimoine to provide relevant legal advice if they have the Connaissance Juridique Appropriée (appropriate legal knowledge). Although governed by the legal framework of the stock exchange (Autorité des Marchés Financiers), the CIF is self-regulated through chosen professional associations of which all will have to be members. (b) ASIC is the corporate, markets and financial services regulator, responsible for promoting market integrity and consumer protection. There is no one equivalent of the ‘Financial Conduct Authority’ – which regulates all financial services in the UK – and separate rules and regulations exist for the three main industries offering financial products – banks, insurance companies and stockbrokers (sociétés de bourse). Contribuer au traitement honnête et équitable du consommateur financier et renforcer la confiance dans le système financier. Register of Assurance, Banking and Finance (ORIAS) Germany. Gibraltar. [1], Commission d'Organisation et de Surveillance des Opérations de Bourse, Australian Prudential Regulation Authority, Australian Securities and Investments Commission, Australian Transaction Reports and Analysis Centre (AUSTRAC), Financial Market Supervisory Authority of Azerbaijan, Securities and Exchange Commission (Bangladesh), International Financial Services Commission, Autoridad de Supervisión del Sistema Financiero, Securities Commission of the Federation of Bosnia and Herzegovina, Non-Bank Financial Institutions Regulatory Authority, British Virgin Islands Financial Services Commission, Brunei International Financial Center of the Ministry of Finance, Financial Supervision Commission (Bulgaria), Office of the Superintendent of Financial Institutions, Financial Transactions and Reports Analysis Centre of Canada, Investment Industry Regulatory Organization of Canada, China Banking and Insurance Regulatory Commission, National Directorate of Taxes and Customs, Agence de Régulation des Transferts de Fonds (ARTF), Superintendencia General de Seguros (Costa Rica), Banque Centrale des Etats de l'Afrique de l'Ouest, Croatian Financial Services Supervisory Agency, Cyprus Securities and Exchange Commission, Cyprus Insurance Companies Control Service, Financial Supervisory Authority (Denmark), Financial Service Unit of the Commonwealth of Dominica, Superintendencia de Bancos de la Republica Dominicana, Superintendencia del Mercado de Valores de la Republica Dominicana, European Securities and Markets Authority, European Insurance and Occupational Pensions Authority, Financial Supervisory Authority of Estonia, Organisme pour le registre unique des intermédiaires en assurance, banque et finance (France), French Prudential Supervision and Resolution Authority, Securities and Exchange Commission (Ghana), Grenada International Financial Services Authority, Hong Kong Securities and Futures Commission, Hong Kong Mandatory Provident Fund Schemes Authority, Insurance Regulatory and Development Authority of India, Pension Fund Regulatory and Development Authority, Commissione Nazionale per le Società e la Borsa, Institute for the Supervision of Insurance, Securities and Exchange Surveillance Commission, Agency of the Republic of Kazakhstan on Regulation and Supervision of Financial Market and Financial Organizations, Committee for the Control and Supervision of the Financial Market and Financial Organizations of the National Bank of the Republic of Kazakhstan, Financial Market Authority (Liechtenstein), Commission de Surveillance du Secteur Financier, Labuan Financial Services Authority (Labuan FSA), Comisión Nacional para la Protección y Defensa de los Usuarios de Servicios Financieros, National Commission for Financial Markets, Financial Regulatory Commission of Mongolia, Autorité Marocaine du Marché des Capitaux (AMMC) Ex Conseil déontologique des valeurs mobilières (CDVM), Netherlands Authority for the Financial Markets, Financial Markets Authority (New Zealand), Securities and Exchange Commission (Nigeria), National Insurance Commission (NAICOM) (Nigeria), National Pension Commission (PENCOM) (Nigeria), Securities and Exchange Commission of the Republic of North Macedonia, Financial Supervisory Authority of Norway, Philippine Securities and Exchange Commission, Nevis Financial Regulatory Services Commission, Dirección General de Seguros y Fondos de Pensiones, Securities and Exchange Commission of Sri Lanka, Swiss Financial Market Supervisory Authority, Office of the Securities and Exchange Commission, Thailand, Trinidad and Tobago Securities and Exchange Commission, Banking Regulation and Supervision Agency of Turkey, National Securities and Stock Market Commission, Abu Dhabi: ADGM (Abu Dhabi Global Market), Dubai: DIFC (Dubai International Financial Center), Office of the Comptroller of the Currency, National Association of Insurance Commissioners, Center for Coordination and Control over Functioning of Securities Market, Securities and Exchange Commission (Zambia), International Organization of Securities Commissions, Legal Entity Identification for Financial Contracts, https://www.imf.org/external/pubs/ft/scr/2004/cr04271.pdf, "List of United States Banking Authorities", Bank of International Settlements - Regulatory authorities and supervisory agencies, https://en.wikipedia.org/w/index.php?title=List_of_financial_regulatory_authorities_by_country&oldid=990205219, Financial regulatory authorities by country, Short description is different from Wikidata, Articles containing Hungarian-language text, Articles containing Indonesian-language text, Creative Commons Attribution-ShareAlike License, National Bank of Belgium (NBB - Banque Nationale de Belgique/Nationale Bank van België), Securities and Exchange Organization of Iran, Beema Samiti (Regulator of Insurance Companies), Insurance Commission (Komisyon ng Seguro), Capital Market Association of the Eastern Caribbean, Investment sector regulator - Spanish Securities Market Commission (, Insurance sector regulator (life and general) -, In addition, each state has its own banking authority, This page was last edited on 23 November 2020, at 11:34. 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