Supervision: Difference between revisions
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1. ''Financial services regulation and oversight.'' | 1. ''Financial services regulation and oversight.'' | ||
Supervision is a key element 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. | Regulation is the most detailed structure and activity, focussing on individual firms. | ||
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* [[Financial Conduct Authority]] (FCA) | * [[Financial Conduct Authority]] (FCA) | ||
* [[Financial intermediary]] | * [[Financial intermediary]] | ||
* [[Financial services]] | |||
* [[Financial Services Authority]] (FSA) | * [[Financial Services Authority]] (FSA) | ||
* [[Financial stability]] | * [[Financial stability]] | ||
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
