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. Corporate finance is an area of Finance dealing with the financial decisions Corporations make and the tools and analysis used to make these decisions Working capital, also known as net working capital, is a financial metric which represents operating liquidity available to a business Cash conversion cycle or CCC is the time duration in which a firm is able to convert its resources into cash Return on invested capital (ROIC is a financial measure that quantifies how well a company generates cash flow relative to the capital it has invested in its business In Corporate finance, Economic Value Added or EVA® is an estimate of true economic profit after making corrective adjustments to GAAP accounting including Just-in-time ( JIT) is an inventory strategy implemented to improve the Return on investment of a Business by reducing in-process Inventory and Economic order quantity is that level of inventory that minimizes the total of inventory holding cost and ordering cost Discounts and allowances are reductions to a basic Price of goods or services Factoring is a word often misused synonymously with accounts receivable financing. Capital budgeting (or investment appraisal is the planning process used to determine whether a firm's long term Investments such as new machinery replacement machinery new Corporate finance is an area of Finance dealing with the financial decisions Corporations make and the tools and analysis used to make these decisions Corporate finance is an area of Finance dealing with the financial decisions Corporations make and the tools and analysis used to make these decisions Corporate finance is an area of Finance dealing with the financial decisions Corporations make and the tools and analysis used to make these decisions Managerial finance is the branch of finance that concerns itself with the managerial significance of finance techniques Financial accountancy (or financial accounting) is the field of Accountancy concerned with the preparation of Financial statements for decision makers Management accounting is concerned with the provisions and use of Accounting information to managers within organizations to provide them with the basis to make informed business In Financial accounting, a balance sheet or statement of financial position is a summary of a person's or organization's balances A business plan is a formal statement of a set of business goals the reasons why they are believed attainable and the plan for reaching those goals A corporate action is an event initiated by a Public company that affects the securities ( Equity or Debt) issued by the company The field of finance refers to the concepts of Time, Money and Risk and how they are interrelated In Economics, a financial market is a mechanism that allows people to easily buy and sell ( Trade) financial Securities (such as stocks and bonds There are two basic financial market participant categories Investor vs Corporate finance is an area of Finance dealing with the financial decisions Corporations make and the tools and analysis used to make these decisions Personal finance is the application of the principles of Finance to the monetary decisions of an individual or family unit Public finance is a field of economics concerned with paying for collective or governmental activities and with the administration and design of those activities A banker or bank is a Financial institution whose primary activity is to act as a payment agent for customers and to borrow and lend money This article is for the legal term For regulation of genes see Regulation of gene expression. In Financial economics, a financial institution acts as an agent that provides Financial services for its clients or members This may be handled by either a government or non-government organization. For the government of parliamentary systems see Executive (government.
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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. Insider trading is the trading of a Corporation 's Stock or other securities (e The following is an incomplete list of financial (securities markets regulatory authorities by country The following is an incomplete list of financial (securities markets 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. The US Securities and Exchange Commission (commonly known as the SEC) is an independent agency of the United States government which holds primary responsibility The United States of America —commonly referred to as the For a topic outline on this subject see List of basic Japan topics. Country to "Dominion of Canada" or "Canadian Federation" or anything else please read the Talk Page The Financial Regulator (Rialtóir Airgeadis officially known as the Irish Financial Services Regulatory Authority is the single Regulator of all financial institutions Ireland ( Irish: Éire, ˈeːrʲə is a country in north-western Europe. The Financial Services Authority ( "FSA") is an independent non-governmental body Quasi-judicial body and a company limited by guarantee that regulates The United Kingdom of Great Britain and Northern Ireland, commonly known as the United Kingdom, the UK or Britain,is a Sovereign state located The Autorité des Marchés Financiers (in English Financial Markets Authority) is the French name given to the stock market regulators in This article is about the country For a topic outline on this subject see List of basic France topics. The Financial Supervisory Commission is a commission of Ministry of Finance, subordinate to the Executive Yuan of the Republic of China. Taiwan ( Taiwanese: Tâi-oân/Tāi-oân (historically 大灣/台員/大員/台圓/大圓/台窩灣 is an Island in East Asia. The China Securities Regulatory Commission ( CSRC) ( often abbreviated) is an institution of the State Council of the People's Republic of China (PRC Talk People's Republic of China) PEOPLE'S REPUBLIC OF CHINA ARTICLE GUIDELINES The China Insurance Regulatory Commission, or CIRC, is an agency of China authorized by the State Council to regulate the Chinese Insurance products Talk People's Republic of China) PEOPLE'S REPUBLIC OF CHINA ARTICLE GUIDELINES The China Banking Regulatory Commission ( CBRC) is an agency of China authorized by the State Council to regulate the Chinese Banking sector Talk People's Republic of China) PEOPLE'S REPUBLIC OF CHINA ARTICLE GUIDELINES The Securities and Exchange Commission of Pakistan (SECP is an organization whose purpose is to develop a modern and efficient corporate sector and a Capital market Pakistan () officially the Islamic Republic of Pakistan, is a country located in South Asia, Southwest Asia, Middle East and The United Mexican States ( or commonly Mexico (ˈmɛksɪkoʊ () is a federal constitutional Republic in North America. India, officially the Republic of India (भारत गणराज्य inc-Latn Bhārat Gaṇarājya; see also other Indian languages) is a country For a topic outline on this subject see List of basic Australia topics. The Australian Prudential Regulation Authority (APRA is a Statutory authority, and the prudential regulator of the Australian financial services industry Australian Securities and Investments Commission (ASIC) is responsible for enforcing financial services and corporations laws. The Australian Securities & Investments Commission (ASIC is an independent Australian government body that acts as Australia 's corporate regulator
See also
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
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