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C2: Regulation of financial services
Description
CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C1: UK fin servs industry in European/global context) Mind Map on C2: Regulation of financial services, created by Mark Varela on 16/04/2014.
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r01 - financial services, regulation, and ethics
c1: uk fin servs industry in european/global context
cii - level 4 diploma
Mind Map by
Mark Varela
, updated more than 1 year ago
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Created by
Mark Varela
about 10 years ago
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Resource summary
C2: Regulation of financial services
Chancellor of the Exchequer
Annotations:
- direct authority over HM Treasury - direct responsibility for regulation & conduct of business
HM Treasury
Annotations:
- department responsible for regulation under direct authority of the Chancellor
Key legal instruments
Financial Services & Markets Act 2000 (FSMA)
Financial Services Act 2012
New regulatory framework (2010)
Annotations:
- came into effect 1st April 2013
Financial Policy Committee (FPC)
Annotations:
- created within the Bank of England
Prudential Regulatory Authority (PRA)
Annotations:
- subsidiary of the Bank of England - prudential regulation & authorisation of certain larger firms (banks/insurers)
Financial Conduct Authority (FCA)
Annotations:
- conduct & market responsibilities - authorises smaller firms (IFAs) directly
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