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A: UK's Financial Services Regulatory Landscape

Beschreibung

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mindmap am A: UK's Financial Services Regulatory Landscape, erstellt von Mark Varela am 02/04/2014.
Mark Varela
Mindmap von Mark Varela, aktualisiert more than 1 year ago
Mark Varela
Erstellt von Mark Varela vor mehr als 10 Jahre
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Zusammenfassung der Ressource

A: UK's Financial Services Regulatory Landscape
  1. Financial Conduct Authority

    Anmerkungen:

    • - Strategic objective is to 'ensure that relevant markets function well' - Operational objectives:    - consumer protection    - integrity    - competition
    1. Prudential Regulation Authority

      Anmerkungen:

      • - promote safety & soundness of systemically important firms - protect policyholders in event of a firm's failure -Approach to regulation & supervision:     - judgement-based     - forwad-looking     - focused
      1. Financial Policy Committee
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