The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. The primary purpose of the SEC is to enforce the law against market manipulation.
Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the stability and integrity of the financial system. This may be handled by either a government or non-government organization. Financial regulation has also influenced the structure of banking sectors by increasing the variety of financial products available. Financial regulation forms one of three legal categories which constitutes the content of financial law, the other two being market practices and case law.
The Stock Exchange Executive Council of the People's Republic of China was established to improve the efficiency of the securities market in mainland China.
The Canadian Securities Institute is a Canadian organization that offers licensing courses, advanced certifications, continuing education and custom training for financial services professionals in Canada and internationally.
Beijing Financial Street (BFS) is where Chinese regulatory agencies are located. It is located inside Beijing's innermost 2nd Ring Road. According to the 13th 5 years plan, Beijing Financial Street will be positioned more towards a regulatory agencies' precinct.
Guotai Junan Securities Co., Ltd. (GTJA) is one of the largest investment banks and securities companies in the People's Republic of China.
Xiao Gang was the chairman of the China Securities Regulatory Commission from March 2013 until 20 February 2016. He was previously chairman of the board of directors of Bank of China Limited, of the Bank of China Limited, and deputy governor of the People's Bank of China, the central bank of the People's Republic of China. He has been credited for playing a crucial role in the reform of China's banking sector.
Qualified Domestic Institutional Investor, also known as QDII, is a scheme relating to the capital market set up to allow financial institutions to invest in offshore markets such as securities and bonds. Similar to QFII, it is a transitional arrangement which provides limited opportunities for domestic investors to access foreign markets at a stage where a country/territory's currency is not traded or floated completely freely and where capital is not able to move completely freely in and out of the country.
The China Insurance Regulatory Commission (CIRC) was an agency of China authorized by the State Council to regulate the Chinese insurance products and services market and maintain legal and stable operations of insurance industry. It was founded on November 18, 1998, upgraded from a semi-ministerial to a ministerial institution in 2003, and currently has 31 local offices in every province.
Financial services in China refers to the services provided in China by the finance industry: banks, investment banks, insurance companies, credit card companies, consumer finance companies, government sponsored enterprises, and stock brokerages.
The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body charged with regulating the securities and futures markets in Hong Kong. The SFC is responsible for fostering an orderly securities and futures markets, to protect investors and to help promote Hong Kong as an international financial centre and a key financial market in China. Even though it is considered to be a branch of the government, it is run independently under the authorisation of the laws relating to Securities and Futures.
The Financial Supervisory Commission is an independent government agency subordinate to the Executive Yuan of the Republic of China (Taiwan). It is responsible for regulating securities markets, banking, and the insurance sector.
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. The U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC).
The China Banking Regulatory Commission (CBRC) was an agency of the People's Republic of China (PRC) authorised by the State Council to regulate the banking sector of the PRC except the territories of Hong Kong and Macau, both of which are special administrative regions. In response to their swelling debt loads, undercapitalization and non-transparent business practices, the government of China recapitalized the banks and set up the CBRC as the country's independent banking regulator in 2003. Liu Mingkang was appointed its first chairman and served until 2011, when he was replaced by Shang Fulin. In 2017, Shang was replaced by Guo Shuqing as the new chairman.
Shang Fulin is a politician of the People's Republic of China. He served as president of the China Securities Regulatory Commission until October, 2011, when he was appointed to lead the China Banking Regulatory Commission.
Securities industry in China is an article on the securities industry in mainland China.
Joel Neoh Eu-Jin is a Malaysian entrepreneur, speaker, and investor. He is best known for his role as the founder of Groupon Malaysia and as the International Vice President of Groupon Asia Pacific. He is currently the founder of Fave.
The Dubai Financial Services Authority (DFSA) is the financial regulatory agency of the special economic zone, the Dubai International Financial Centre (DIFC), In Dubai, United Arab Emirates. It is distinct from the UAE's federal Securities and Commodities Authority, whose jurisdiction covers the wider UAE outside the boundaries of the DIFC. It operates only within the special economic zone and is tasked with providing a regulatory environment of international standards.
Yao Gang is a Chinese executive who served as one of four vice-chairmen at the China Securities Regulatory Commission (CSRC), China's top security regulator. He was investigated by the Chinese Communist Party's anti-graft agency in November 2015, after a stock market rout rocked global markets. Yao's downfall marked the widened government crackdown on corruption in the financial industry. Zhang Yujun (张育军), former assistant chairman of the CSRC, was placed under investigation in the end of 2015.
The National Equities Exchange And Quotations (NEEQ) is a Chinese over-the-counter system for trading the shares of a public limited company that is not listed on either the Shenzhen or Shanghai stock exchanges. The NEEQ exchange was also nicknamed "The New Third Board" in China, as there were two old trading systems that the NEEQ replaced, STAQ and NET.
