Dual-regulated firm: Difference between revisions
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Latest revision as of 16:46, 21 June 2024
1. Law - supervision - oversight - UK.
A financial firm regulated both by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).
2. Law - supervision - oversight.
Any other firm subject to regulation by two different regulators at the same time.
See also
- Australian Financial Regulation
- Australian Prudential Regulation Authority
- Bank supervision
- Competition
- Competition law
- Compliance
- Compliance risk
- Conduct
- Deregulation
- Developments in corporate and market regulation: implications for the treasurer
- Dual-regulated
- Financial Industry Regulatory Authority (FINRA)
- Firm
- Framework
- Free market
- General Data Protection Regulation (GDPR)
- Governance
- Guidance
- Harmonisation
- Interchange Fee Regulation
- Investment Firms Regulation
- Jurisdiction
- Law
- Legislation
- Market Abuse Regulation (MAR)
- Markets in crypto-assets regulation
- Markets in Financial Instruments Regulation (MiFIR)
- Money Market Funds Regulation
- Oversight
- Payment Systems Regulator
- Pensions Regulator
- PRIIPs Regulation
- Primary legislation
- Prospectus Regulation
- Prudential regulation
- Prudential Regulation Authority (PRA)
- Prudential Regulation Committee
- Rate regulation
- Rate regulator
- Red tape
- Regime
- Regtech
- Regulated market
- Regulation
- Regulator
- Regulatory
- Regulatory arbitrage
- Regulatory capital
- Regulatory deferral account
- Regulatory News Service
- Regulatory risk
- Regulatory standard
- Regulatory Technical Standard (RTS)
- Reporting
- Reporting on Payment Practices and Performance Regulations
- Reputational risk
- Retained EU law (REUL)
- Rule
- Rules
