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Lead regulator |
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Lead regulatorA leading self-regulatory organization that over sees compliance with a particular section of the law, such as the NYSE, NYSE, or NYSE.Lead regulator Similar MatchesRegulatory accounting procedures (RAP)Regulatory accounting procedures (RAP)Accounting principles required by the FHLB that allow S&Ls to elect annually to defer gains and losses on the sale of assets and amortize these deferrals over the average life of the asset sold. Investment Management Regulatory OrganisationInvestment Management Regulatory OrganisationA Self Regulating Organisation (SRO) with responsibility for monitoring the manner in which UK investment firms manage their funds, that is their client's investments. It supervises the way firms treat their clients and provide investment services. Companies include those which manage funds, unit trusts, ISAs and pension funds. IMRO is currently one of the three SROs (the other two being the Personal Investment Authority [PIA] and the Securities and Futures Authority [SFA] ) which report to the Financial Services Authority (FSA). All regulatory functions of IMRO have been taken over by the Financial Services Authority as of December 2001. Self Regulatory OrganisationSelf Regulatory OrganisationFollowing the Financial Services Act 1986, SROs were set up to regulate companies dealing in investment business with the objective of investor protection. There are currently three SROs, the Securities and Futures Authority (SFA), the Personal Investment Authority (PIA) and the Investment Management Regulatory Organisation (IMRO) which report to the Financial Services Authority (FSA).All regulatory functions of SROs were taken over by the Financial Services Authority as of December 2001. Occupational Pensions Regulatory AuthorityOccupational Pensions Regulatory AuthorityThe Authority set up under the Pensions Act 1995 to make occupational pensions more secure. Regulatory pricing riskRegulatory pricing riskRisk that arises when insurance companies are subject to regulation of the premium rates that can they charge. Further SuggestionsSelf regulatory organization (SRO)Regulatory News Service Regulatory Pyramid Financial Intermediaries Managers and Brokers Regulatory Association Regulatory surplus |
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