Regulators
Definition: Regulators or regulatory bodies are created to design requirements that are placed on the privatised industries to comply with controls on prices and standards of service.
Regulators also give pharmaceuticals companies incentives through marketing exclusivity, a promise to not approve competitors. This is sometimes given to treatments for rare diseases that are designated orphan drugs.
Regulators have made no secret of their fondness for contingent capital - it keeps down the cost of capital in the short term, by classifying it as debt, but provides a buffer in case of emergencies that can be switched into loss-absorbing equity.
Regulators such as the US Securities and Exchange Commission have long sought to bring hedge funds under the same regulatory umbrella as traditional investment advisers (although its efforts have been punctuated by intermittent setbacks).
Regulators and risk managers think of capital as financial resources available to, in some sense, absorb unanticipated losses.
Regulators are not legally required to provide a Wells Notice; however, it is the practice of the SEC and FINRA to provide such notice.
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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.
Growth Regulators
Chemicals applied during blooming season to force plant to switch from vegetative growth to boll maturation.
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In fact, regulators have taken this advice to heart. The federal agencies governing the safety of automobiles, industrial workplaces, and the environment all have moved in the direction of regulating by performance rather than by design. The U.S.
See Also: regulators Online share dealing service Stockmarket Centre
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Securities regulators oversee Canada's capital markets and advisers who sell and manage investments traded in those markets.
The primary regulators are the following:
OCC (Office of the Comptroller of the Currency)
FDIC (Federal Deposit Insurance Corporation)
FRB (Federal Reserve Board)
NCUA (National Credit Union Administration)
State regulatory agencies ...
Environmental Regulators - Green Living
Is a Federal Registration Valid Outside the United States?
Income Levels Debt - Economic Slowdown Causing Middle Income Levels to go i...
There are many regulators like Forwards Markets Commission (FMC) which controls the functions and overall regulation of these commodity markets.
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.
[OTS] American Commodity Exchange (ACE) American Council of State Savings Supervisors (ACSSS) A national organization of state savings institution regulators.
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.
Linkage evergreening refers to the process whereby pharmaceutical safety, quality and efficacy regulators are required to 'link' their normal evaluation with an assessment of whether an impending generic product may breach an existing patent.
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 ...
Know your customer, or "KYC" refers to guidelines of securities regulators that require each broker to know your customer.
All life insurance companies authorized to sell in Canada are required, by the federal, provincial and territorial regulators, to become members of Assuris.
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, ...
A legal document that must be filed with securities regulators in order to distribute securities, including mutual funds. Mutual fund dealers are required by law to distribute this document to investors before the purchase of any units.
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.
CAMELS - A measure used by banking regulators to assess a depository financial institution's strength (Capital, Asset Quality, Management, Earnings, Liquidity, and Sensitivity to Market Risk) ...
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Warrants are scrutinized by national regulators before being admitted to trading on NYSE Euronext's regulated market.
Types of Warrants
There are two main types of warrants you need to know.
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.
Risk that arises when regulators restrict the premium rates that insurance companies can charge.
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Its members were regulators, central bankers and government officials of the G7 and of international financial organizations.
Accountancy attempts to create accurate financial reports that are useful to managers, regulators, and other stakeholders such as shareholders, creditors, or owners. The day-to-day record-keeping involved in this process is known as bookkeeping.
Reports to those outside the organization owners, lenders, tax authorities and regulators.
Reports to those inside the organization for planning, directing and motivating, controlling and performance evaluation.
CAMEL - An acronym for the institution composite rating system used by the federal regulators during a ...
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Well's Notice - Notifications issued by regulators to inform individuals and companies of completed investigations where infractions have been discovered.
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.
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.
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; ...
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.
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.
Drawing on our broad network of relationships in the legal community - among regulators, fund administrators, compliance consultants, accountants, hedge fund hotels, ...
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 ...
Force Majeure
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.
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.
Global Organizations
Global Payment Associations
Regulators
U.S. ACH Associations
U.S. Banking Associations ...
The prohibition notice requires the activity to stop until health and safety controls have been put in place. Environmental regulators can issue a notice when a business fails to comply with the conditions of a permit or licence and where this could ...
Bank for International Settlements (BIS): International body that promotes the co-operation of central banks. Itself a bank, BIS acts as a clearing and settlement agent and as a forum for cooperation between central bankers, regulators and ...
Statutory Reporting: An accounting method used by insurance companies to report their financial information to regulators.
The rate excludes one-time fees paid to third parties, penalties, etc. Despite these assumptions, regulators haven't defined the exact fees that should be included, and this factor creates confusion in potential lenders.
Financial accounts are drawn up solely in order to calculate the amount of taxation due to the government. The format is highly regulated for this reason. In developed economies published accounts are aimed not only at government regulators but also ...
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.
In the 1990s, state regulators began to allow competition among some utilities (especially natural-gas and electricity suppliers) in order to bring prices down.
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 ...
organisations from across the world's major economies measure and disclose their greenhouse gas emissions, water use and climate-change strategies through CDP. Corporations are rated and the information helps investors, corporations and regulators to ...
The NASD inspects brokerage records, arbitrates disputes and licenses all sales representatives and managers of member firms, working in close cooperation with federal regulators at the Securities and Exchange Commission.
 See also: Banks, Acquisitions, Risk management, Financial risk, Mergers
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