Supervision: Difference between revisions

From ACT Wiki
Jump to navigationJump to search
imported>Doug Williamson
(Create page. Sources: linked pages.)
 
(Layout.)
 
(10 intermediate revisions by 2 users not shown)
Line 1: Line 1:
''Financial services regulation.''
1.  ''Financial services regulation and oversight.''


Supervision is the prudential regulation and oversight of banks and similar financial firms.  
Supervision is a key element in the prudential regulation and oversight of banks and similar financial firms.
 
 
Regulation is the most detailed structure and activity, focussing on individual firms.
 
Supervision is a higher-level activity than regulation, with a greater emphasis on groups of similar firms, and entire markets.
 
Oversight is the highest-level work, with even greater emphasis on the bigger picture, entire markets and related markets.
 
 
2.  ''Professional standards - conduct - regulation - oversight.''
 
Similar activities and structures in other sectors.
 
 
3.  ''Personal professional standards - continuing professional development - individuals.''
 
A structured process and relationship between a professional supervisee and a more senior and experienced member of the profession - the supervisor - to facilitate continuing personal and professional development of the supervisee.




== See also ==
== See also ==
* [[Association for Professional Executive Coaching and Supervision]]
* [[Australian Financial Regulation]]
* [[Australian Financial Regulation]]
* [[Bank]]
* [[Bank of England]]
* [[Bank of England]]
* [[Bank supervision]]
* [[Bank supervision]]
* [[Basel Committee on Banking Supervision]]  (BCBS)
* [[Basel III]]
* [[Basel III]]
*[[Best practice]]
* [[Boilerplate]]
* [[Broker-dealer]]
* [[Capital adequacy]]
* [[Capital adequacy]]
* [[European Banking Authority]]
*[[Code]]
* [[European Central Bank]]
*[[Competence]]
*[[Compliance]]
* [[Conduct]]
* [[Continuing professional development]]  (CPD)
* [[Contract]]
* [[Credit]]
*[[Directive]]
*[[Enforcement]]
*[[Ethics]]
* [[European Banking Authority]] (EBA)
* [[European Central Bank]]  (ECB)
* [[European System of Financial Supervision]]
* [[Federal Reserve System]]
* [[Federal Reserve System]]
* [[Financial Conduct Authority]]
* [[Financial Conduct Authority]]  (FCA)
* [[Financial Services Authority]]
* [[Financial intermediary]]
* [[Financial services]]
* [[Financial Services Authority]] (FSA)
* [[Financial stability]]
* [[Financial stability]]
*[[Framework]]
*[[Good practice]]
*[[Governance]]
*[[Guidance]]
* [[Home supervisor]]
* [[Home supervisor]]
* [[Host supervisor]]
* [[Host supervisor]]
* [[Intensity]]
* [[Intermediation]]
* [[Jurisdiction]]
*[[Law]]
* [[Legislation]]
* [[Non-bank financial intermediaries]]  (NBFIs)
* [[Office for Professional Body Anti-Money Laundering Supervision]]
* [[Oversight]]
*[[Principle]]
* [[Prudential]]
* [[Prudential]]
* [[Prudential Regulation Authority]]
* [[Prudential Regulation Authority]]
*[[Red tape]]
* [[Regime]]
* [[Regulation]]
* [[Regulation]]
*[[Reporting]]
*[[Reputational risk]]
* [[Resolution Authority]]
* [[Resolution Authority]]
*[[Rules]]
* [[Solvency II]]
* [[Solvency II]]
*[[Standards]]
* [[Structured finance]]
* [[Supervision Committee of the FRC]]  - UK
* [[Supervisor]]
* [[Supervisor]]
* [[Supervisory college]]
* [[Supervisory college]]
* [[Tax]]
* [[Twin Peaks]]
* [[Twin Peaks]]


[[Category:Accounting,_tax_and_regulation]]
[[Category:Accounting,_tax_and_regulation]]
[[Category:The_business_context]]
[[Category:Identify_and_assess_risks]]
[[Category:Identify_and_assess_risks]]
[[Category:Manage_risks]]
[[Category:Manage_risks]]
[[Category:Risk_reporting]]
[[Category:Risk_frameworks]]
[[Category:Risk_frameworks]]
[[Category:Risk_reporting]]
[[Category:The_business_context]]

Latest revision as of 09:57, 5 June 2024

1. Financial services regulation and oversight.

Supervision is a key element in the prudential regulation and oversight of banks and similar financial firms.


Regulation is the most detailed structure and activity, focussing on individual firms.

Supervision is a higher-level activity than regulation, with a greater emphasis on groups of similar firms, and entire markets.

Oversight is the highest-level work, with even greater emphasis on the bigger picture, entire markets and related markets.


2. Professional standards - conduct - regulation - oversight.

Similar activities and structures in other sectors.


3. Personal professional standards - continuing professional development - individuals.

A structured process and relationship between a professional supervisee and a more senior and experienced member of the profession - the supervisor - to facilitate continuing personal and professional development of the supervisee.


See also