Supervision: Difference between revisions
From ACT Wiki
Jump to navigationJump to search
imported>Doug Williamson (Add link.) |
(Layout.) |
||
| (7 intermediate revisions by 2 users not shown) | |||
| Line 1: | Line 1: | ||
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. | ||
2. ''Professional standards.'' | 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. | 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]] | ||
* [[Continuing professional development]] | *[[Code]] | ||
* [[European Banking Authority]] | *[[Competence]] | ||
* [[European Central Bank]] | *[[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]] | * [[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: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: | [[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
- Association for Professional Executive Coaching and Supervision
- Australian Financial Regulation
- Bank
- Bank of England
- Bank supervision
- Basel Committee on Banking Supervision (BCBS)
- Basel III
- Best practice
- Boilerplate
- Broker-dealer
- Capital adequacy
- Code
- 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
- Financial Conduct Authority (FCA)
- Financial intermediary
- Financial services
- Financial Services Authority (FSA)
- Financial stability
- Framework
- Good practice
- Governance
- Guidance
- Home 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 Regulation Authority
- Red tape
- Regime
- Regulation
- Reporting
- Reputational risk
- Resolution Authority
- Rules
- Solvency II
- Standards
- Structured finance
- Supervision Committee of the FRC - UK
- Supervisor
- Supervisory college
- Tax
- Twin Peaks
