Supervision

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