Financial Regulatory Institutes
NFA Regulator
NFA is a self-governed sectoral organization representing American futures industry. Day after day NFA strain to elaborate regulations, programs and services meant to protect market integrity and investors, ensuring legal qualification of it Members.
Being an autonomous regulatory agency, NFA is unbound to any certain marketplace. It activity has no financial implications for the taxpayer and it is funded solely by users of the futures markets in the form of affiliation and assessment fees.
With rapid development of financial markets, NFA has become the leader in self-regulation field. Since the need for efficient regulation today is as substantial as ever, NFA’s reputation is rather beneficial for the market agents willing to share their experience, while NFA serves as a model of self-regulatory organization.
CySEC Regulator
Widely known as CySEC, The Cyprus Securities and Exchange Commission corresponds to a regulatory body in the sphere of financial relations in the Republic of Cyprus.
When in 2004 the Republic of Cyprus was included into the number of European Union members, the CySEC became a part of European regulatory system MiFID. Since that time all the companies that have been registered in this Republic have been given access to the markets of Europe.
The CySEC watches that the Cyprian investment firms strictly followed financial instructions according to the legislation and the normative base of Cyprus and European Union. CySEC is a public body which supervises actions and the operations performed at stock exchange.
FCA Regulator
The Financial Conduct Authority (FCA) is a quasi-governmental UK agency, established as one of the successors to the Financial Services Authority (FSA). It regulates retail and wholesale financial services firms in the United Kingdom and maintains the integrity of the UK’s financial markets. The authority is vested with rule-making, investigative and enforcement powers, which it applies to ensure stability of the financial services industry and promote competition in the interests of consumers.
In addition, the FCA has the power to impose a ban on financial products for up to a year while considering an indefinite ban and to demand that firms immediately retract or modify all promotions which it considers to be misleading.
FSA Regulator
The Financial Conduct Authority (FCA) is a quasi-governmental UK agency, established as one of the successors to the Financial Services Authority (FSA). It regulates retail and wholesale financial services firms in the United Kingdom and maintains the integrity of the UK’s financial markets.
The authority is vested with rule-making, investigative and enforcement powers, which it applies to ensure stability of the financial services industry and promote competition in the interests of consumers. In addition, the FCA has the power to impose a ban on financial products for up to a year while considering an indefinite ban and to demand that firms immediately retract or modify all promotions which it considers to be misleading.
ASIC Regulator
All the financial markets and firms in Australia as well as organizations and individual self-employed specialists consulting on and dealing with such issues as superannuation, insurance, investment, deposit withdrawals and credit-taking are regulated and controlled by ASIC.
On the one hand, being one of the market regulators, ASIC evaluate the efficiency of these structures performance and their discharge of obligations to act on financial markets properly, fairly, and transparently. Making recommendations to the Minister on the new markets authorization is also in power of ASIC. On 1 August 2010, the oversight of trade carried on domestic licensed equity, derivatives and futures markets was entrusted to ASIC too.
On the other hand, being the financial services regulator, ASIC grant licenses and supervise businesses rendering financial services connected with superannuation and insurance, managed funds and derivatives, shares and firm securities.
SEC Regulator
SEC in the U.S. ensures protection of investors, maintenance of fair markets, and capital formation advancement. The main participants dealing with securities are controlled by the agency. The first concern of the SEC here lies in promotion of crucial information disclosure, protection against fraud and fair business relations.
Rational and well-educated investors are an important mechanism of efficient market functioning, since they serve as the major information source. A variety of information aligned with investor awareness is posted by the SEC on this website, including the database of documents liable to disclosure and submission.
The SEC regulates and controls the American securities markets in cooperation with many other agencies, including Congress, various private companies and other organizations. Notably, the Chairman of the agency and certain public officials participate in a working group on financial markets.
FINRA Regulator
FINRA is the largest independent agency regulating securities-related sphere of activity of various organizations in the U.S. FINRA’s objective lies in protection of American investors through assurance of fair and honest operation of the securities industry.
Every feature of the securities business, including registration and instruction of industry agents, elaboration and enforcement of rules and federal laws, evaluation of companies engaged in the field, training and instruction of investors, submission of trade reports, as well as administration of forum for dispute settlement, is covered by FINRA. Contractual market regulation for the key U.S. stock markets falls within our competence as well.
In this sophisticated global economic situation FINRA acts as a reliable representative of investors’ interests; its activity is devoted to assurance of market soundness and aimed at regulation of financial matters to protect the market and the investors themselves.