Regulations promoting competition and curbing monopoly power.
A corporation that owns a controlling interest in one or more banks but does not provide banking services itself.
An analysis to determine a bank’s capital adequacy during hypothetical economic downturns, put in place to avoid financial calamities.
International banking regulations enhancing capital requirements and supervision.
A deceptive practice to inflate sales figures by oversupplying distribution channels with products.
Understanding the Role of Compliance Officers in Organizations
Deregulation is the reduction or elimination of government power in a particular industry, aimed at creating more competition.
The essential practice of providing necessary company information to ensure transparency and fairness in the financial market.
An overview of the Eurocurrency Market, its significance, and functions.
A deep dive into the Federal Communications Commission and its critical role in regulating communications in the U.S.
The guardian of stock brokers, FINRA protects investors while managing broker regulations.
A comprehensive guide to understanding FINRA BrokerCheck, the free tool for researching brokers and financial firms.
A government agency established to regulate food, drugs, and medical devices.
An overview of GDPR that provides consumers with more control over their personal data.
Understanding HKEX as a pivotal player in global financial markets
Understanding the murky waters of insider trading in financial markets.
An overarching framework that defines and regulates investment companies, ensuring transparency and investor protection.
Learn about the KYC standard used in the investment industry to strengthen client relationships and regulatory compliance.
An exploration of legal monopolies and their regulated nature.
The MiFID is a vital piece of European financial regulation that aims to create transparency and standardization across financial markets.
Understanding the devilishly powerful beings who control the market with a monopoly over certain goods or services.
Overview of the MSRB and its role in municipal securities regulation.
A governance body for insurance regulators in the U.S. promoting standards and best practices.
Understanding the NASD: Your quirky guide to the predecessor of FINRA!
