A: UK's Financial Services Regulatory Landscape

Mark Varela
Mind Map by , created over 5 years ago

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mind Map on A: UK's Financial Services Regulatory Landscape, created by Mark Varela on 04/02/2014.

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Mark Varela
Created by Mark Varela over 5 years ago
B: FCA Objectives
Mark Varela
C: Part 4a Permission
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D1: Regulatory supervisison & the risk-based approach
Mark Varela
Analysing Text
amberbob27
5 Big Ideas
cassie_dodd
C3: Enforcement in civil & criminal courts
Mark Varela
G: Laws of succession
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A2: Financial Services Act 2012
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D: Other Regulators
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D1A-D2: Compliance monitoring
Mark Varela
A: UK's Financial Services Regulatory Landscape
1 Financial Conduct Authority

Annotations:

  • - Strategic objective is to 'ensure that relevant markets function well' - Operational objectives:    - consumer protection    - integrity    - competition
2 Prudential Regulation Authority

Annotations:

  • - promote safety & soundness of systemically important firms - protect policyholders in event of a firm's failure -Approach to regulation & supervision:     - judgement-based     - forwad-looking     - focused
3 Financial Policy Committee

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