The Financial Services Authority (FSA) was a quasi-judicial body accountable for the regulation of the financial services industry in the United Kingdom between 2001 and 2013. It was founded as the Securities and Investments Board (SIB) in 1985. Its board was appointed by the Treasury, although it operated independently of government. It was structured as a company limited by guarantee and was funded entirely by fees charged to the financial services industry.
Canadian securities regulation is managed through the laws and agencies established by Canada's 10 provincial and 3 territorial governments. Each province and territory has a securities commission or equivalent authority with its own provincial or territorial legislation.
In administrative law, rulemaking is the process that executive and independent agencies use to create, or promulgate, regulations. In general, legislatures first set broad policy mandates by passing statutes, then agencies create more detailed regulations through rulemaking.
In general, compliance means conforming to a rule, such as a specification, policy, standard or law. Compliance has traditionally been explained by reference to deterrence theory, according to which punishing a behavior will decrease the violations both by the wrongdoer and by others. This view has been supported by economic theory, which has framed punishment in terms of costs and has explained compliance in terms of a cost-benefit equilibrium. However, psychological research on motivation provides an alternative view: granting rewards or imposing fines for a certain behavior is a form of extrinsic motivation that weakens intrinsic motivation and ultimately undermines compliance.
Trading Standards are the local authority departments with the United Kingdom, formerly known as Weights and Measures, that enforce consumer protection legislation.
A regulatory agency or independent agency is a government authority that is responsible for exercising autonomous dominion over some area of human activity in a licensing and regulating capacity.
The Financial Reporting Council (FRC) is an independent regulator in the UK and Ireland based in London Wall in the City of London, responsible for regulating auditors, accountants and actuaries, and setting the UK's Corporate Governance and Stewardship Codes. The FRC seeks to promote transparency and integrity in business by aiming its work at investors and others who rely on company reports, audits and high-quality risk management.
The Legislative and Regulatory Reform Act 2006 (LRRA) is an Act of the Parliament of the United Kingdom. It was enacted to replace the Regulatory Reform Act 2001 (RRA). The Act was and remains very controversial, because of a perception that it is an Enabling Act substantially removing the ancient British constitutional restriction on the Executive introducing and altering laws without assent or scrutiny by Parliament, and it has been called the "Abolition of Parliament Act".
The Health and Safety at Work etc. Act 1974 is an act of the Parliament of the United Kingdom that as of 2011 defines the fundamental structure and authority for the encouragement, regulation and enforcement of workplace health, safety and welfare within the United Kingdom.
The National Indian Gaming Commission is a United States federal regulatory agency within the Department of the Interior. Congress established the agency pursuant to the Indian Gaming Regulatory Act in 1988.
The Better Regulation Commission was a non-departmental public body of the British government, independent of any government department but under the oversight of Department for Business, Enterprise and Regulatory Reform.
The USA PATRIOT Act was passed by the United States Congress in 2001 as a response to the September 11 attacks in 2001. It has ten titles, with the third title written to prevent, detect, and prosecute international money laundering and the financing of terrorism.
The Solicitors Regulation Authority (SRA) is the regulatory body for solicitors in England and Wales.
Regulatory risk differentiation is the process used by a regulatory authority to systemically treat entities differently based on the regulator's assessment of the risks of the entity's non-compliance.
In the United Kingdom, the Architects Act 1997 imposes restrictions on the use of the name, style or title "architect" in connection with a business or a professional practice, and for that purpose requires a statutory Register of Architects to be maintained. The Architects Registration Board constituted under the Act is responsible for Architects Registration in the United Kingdom and is required to publish the current version of the Register annually. Every person who is entitled to be registered under the Act has the right to be entered in the register. The act consolidated previous enactments originating with the Architects (Registration) Act 1931 as amended by the Architects Registration Act 1938. It applies to England, Wales, Scotland and Northern Ireland.
The Bus Safety Act 2009 is a law enacted by the Parliament of the State of Victoria, Australia and is the prime statute regulating the safety of bus operations in Victoria. The Act was developed as part of the Transport Legislation Review conducted by the Department of Transport between 2004 and 2010 and is aimed at preventing deaths and injuries arising from bus operations in Victoria and establishes a modern "best practice" regulatory framework to assist in maintaining and improving the Victorian bus industry's good safety record.
Command and Control (CAC) regulation finds common usage in academic literature and beyond. The relationship between CAC and environmental policy is considered in this article, an area that demonstrates the application of this type of regulation. However, CAC is not limited to the environmental sector and encompasses a variety of different fields.
Reducing administrative burdens – effective inspection and enforcement is a March 2005 UK publication produced under businessman Philip Hampton. The UK Statutory Code of Practice for Regulators is based on its recommendations with the purpose to promote efficient and effective approaches to regulatory inspection and enforcement.
An Administrative Monetary Penalty is a civil penalty imposed by a regulator for a contravention of an Act, regulation or by-law. It is issued upon discovery of an unlawful event, and is due and payable subject only to any rights of review that may be available under the AMP's implementing scheme. It is regulatory in nature, rather than criminal, and is intended to secure compliance with a regulatory scheme, and it can be employed with the use of other administrative sanctions, such as demerit points and license suspensions.
The Charities Regulator is the operational name of the Charities Regulatory Authority, the statutory authority responsible for the regulation of charities in Ireland. The organisation is made up of a board, with four sub-committees, and as of 2019, a staff of 38, including a chief executive.
