Regulators

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FI regulators are government bodies that empower FIs to provide services, set the specific rules for FI activity within the legal framework and monitor FIs' adherence to those rules.

Regulators and risk managers think of capital as financial resources available to, in some sense, absorb unanticipated losses.

Securities regulators oversee Canada's capital markets and advisers who sell and manage investments traded in those markets.

Regulatory pricing risk Risk that arises when regulators restrict the premium rates that insurance companies can charge.

Not open for trading because specialists or regulators are not allowing trading to occur until imbalances dissipate or news is disseminated.

Local regulators continue to have jurisdiction over the respective exchanges. The markets are regulated and unregulated. As of 2004, Euronext uses a single platform for cash trading, derivatives, and clearing.

Regulators require that certain information be disclosed to investors through documents such as mutual fund prospectuses, corporate filings for stock issued by public companies that trade on the major stock markets, ...

History tells us that the absence or failure of these regulators will quickly foster an environment where rogue business persons will launch all manner of stock fraud schemes (not the least of which is inflated profits to attract and rob ...

Positive stories in the media obviously help promote a positive image to government regulators, which reduces the chance of being investigated and possibly fined.

A constant concern of BANK regulators is that the collapse of a single bank could bring down the entire financial system. This is why regulators often organise a rescue when a bank gets into financial difficulties.

Term favored by the Federal Banking regulators in lieu of market value of portfolio equity. The difference between the sum of the present values of all cash flows from assets and the sum of the present values of all cash flows from liabilities.

Canadian Council Of Insurance Regulators (CCIR) Similar to the National Association of Insurance Commissioners in the United States, this Canadian organization of provincial insurance regulators meet regularly to discuss insurance matters.

Concern of financial regulators with the safety and soundness of individual banks, ...

Federal and state securities regulators require that the prospectus include the fund's investment objectives, policies and restrictions, fees and expenses, and how shares can be bought and sold. It should be read carefully prior to investing.

Rate Base: The value of that part of a utility's plant and equipment that is in use or deemed by regulators to be useful for future public service.

Accountancy allows the creation of accurate financial reports that are useful to managers, regulators, and other stakeholders such as shareholders or owners. The day-to-day record-keeping involved in this process is known as bookkeeping.

Risk that arises when regulators restrict the premium rates that insurance companies can charge. Popular terms ...

During the regulatory supervision, the regulators may have the power to favor one class of obligations over others or pay some obligations and not others.

Well's Notice - Notifications issued by regulators to inform individuals and companies of completed investigations where infractions have been discovered.

Used for listed equity securities. Not open for trading because specialists or regulators are not allowing trading to occur until imbalances dissipate or news is disseminated. Held order ...

Share the gains/share the pains theory A theory of regulatory behaviour in which the regulators must take account of the demands of three groups: legislators, who established and who oversee the regulatory agency; members of the regulated industry; ...

Margin Debt A debit in your account that is owed to the broker. The debit is secured with stocks and bonds which regulators have authorized for use as collateral. It excludes funds due which are debits resulting from purchases in a cash account.

Capture hypothesis A theory of regulatory behavior that predicts that the regulators will eventually be captured by the special interests of the industry being regulated.

Depending on the work a particular agent does, he or she may need to be certified, licensed, or registered by industry bodies or government regulators.

Rate base The value of a regulated public utility and its operations as defined by its regulators and on which the company is allowed to earn a particular rate of return.

Held at the opening Used for listed equity securities. Not open for trading because specialists or regulators are not allowing trading to occur until imbalances dissipate or news is disseminated.

In order to control the money supply, regulators have to decide which particular measure of the money supply to target. The broader the targeted measure, the more difficult it will be to control that particular target.

Events outside the control of the parties. These events are acts of man, nature, governments and regulators, or impersonal events. Contract performance is forgiven or extended by the period of force majeure. Force majeure risk ...

REQUIRED RESERVES: The amount of vault cash and/or Federal Reserve deposits that a bank must legally keep to back outstanding deposits. These are the assets that bank regulators specify a bank must have to ensure the stability of deposits and conduct ...

Remote Gambling Association: represents remote gambling companies and provides the industry with a single voice on all issues of importance to regulators, legislators and key decision makers around the world.

Government regulatory agencies, such as the Securities and Exchange Commission (SEC), self-regulating organizations, state securities regulators, and the Financial Industry Regulatory Authority (FINRA) require such disclosures.

Global Organizations Global Payment Associations Regulators U.S. ACH Associations U.S. Banking Associations ...

The main aim of the association is to represent the views of the industry to State and Federal government and regulators, mainly regarding legislation, and provide education to the industry and associated professions.

Recognizing the social impact of advertising, Mediawatch-uk, a British special interest group, works to educate consumers about how they can register their concerns with advertisers and regulators.

This data base is compiled from application forms, Exchange developed examinations, reported enforcement actions, and related information. The NASD owns the CRD system and its facilities, operating them on behalf of the NYSE, state regulators, ...

Each is to be filed to applicable securities commissions by the tenth day of the month following the transaction, although in practice many insiders file much later without any action taken by regulators.

purchase of stock in a company that is in the process of being taken over, and short-selling the stock of the firm intent on making the acquisition. This strategy involves a calculated bet that the proposed deal will be approved by regulators and ...

In the 1990s, state regulators began to allow competition among some utilities (especially natural-gas and electricity suppliers) in order to bring prices down.

Consequently, the government regulators would either have to pay the monopolist a subsidy to allow him a "fair return" on his investment or else fix the price of the product above its marginal costs of production anyway to accomplish the same end at ...

These events are acts of man, nature, governments and regulators, or impersonal events. Contract performance is forgiven or extended by the period of force majeure.

See also: Market, Account, Money, Management, Services