Regulation: Difference between revisions
imported>Doug Williamson (Layout.) |
imported>Doug Williamson (Add link.) |
||
| Line 54: | Line 54: | ||
*[[Compliance]] | *[[Compliance]] | ||
* [[Compliance risk]] | * [[Compliance risk]] | ||
* [[Conduct]] | |||
* [[Contract]] | * [[Contract]] | ||
* [[Convention]] | * [[Convention]] | ||
| Line 67: | Line 68: | ||
* [[European Union ]] | * [[European Union ]] | ||
* [[EU Taxonomy Regulation]] | * [[EU Taxonomy Regulation]] | ||
* [[Financial Industry Regulatory Authority]] (FINRA) | * [[Financial Industry Regulatory Authority]] (FINRA) | ||
Revision as of 09:43, 22 June 2023
1.
The official control of markets or of other activities, usually by a system of rules, often including primary or secondary legislation.
2. Law.
A rule with legal force, designed to carry out a specific piece of legislation. Usually enforced by a regulatory agency.
3. European Union (EU) law.
An act of European Union (EU) law having direct effect in all member states.
EU Regulations are passed either jointly by the EU Council and European Parliament, or by the EU Commission alone.
4. UK law - retained EU law - Brexit.
The UK was formerly a member of the EU and EU Regulations were formerly directly applicable in UK law. For example, the Capital Requirements Regulation (CRR).
Following the UK's departure from the EU, the UK now has its own "onshored" versions of these Regulations. For example, the UK CRR.
Many of these onshored UK versions of EU Regulations began as exact duplicates of the EU Regulations at the time.
However, they have subsequently diverged, so take advice about them.
5.
More generally, any rule to control, direct or manage an activity, organisation or system.
A 'regulation' - in this broadest sense - may or may not have legal authority.
See also
- Australian Financial Regulation
- Australian Prudential Regulation Authority
- Bank supervision
- Benchmarks Regulation
- Best practice
- Blocking Regulation
- Boilerplate
- Brexit
- Capacity
- Capital Requirements Regulation (CRR)
- Code
- Code of practice
- Competence
- Competition
- Competition law
- Compliance
- Compliance risk
- Conduct
- Contract
- Convention
- Court
- Decision
- Deregulation
- Developments in corporate and market regulation: implications for the treasurer
- Directive
- Edinburgh reforms (UK)
- Enforcement
- Ethics
- European Union
- EU Taxonomy Regulation
- Financial Industry Regulatory Authority (FINRA)
- Framework
- Free market
- General Data Protection Regulation (GDPR)
- Good practice
- Governance
- Guidance
- Harmonisation
- Intensity
- 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
- Mixed economy
- Onshore
- Payment Systems Regulator
- Pensions Regulator
- PRIIPs Regulation
- Primary legislation
- Principle
- Private sector
- Prospectus Regulation
- Prudential regulation
- Prudential Regulation Authority (PRA)
- Prudential Regulation Committee
- Rate regulation
- Rate regulator
- Red tape
- Regime
- Regtech
- Regulated market
- Regulation D
- Regulation Q
- Regulation S-K
- 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
