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Regulatory Pyramid |
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Regulatory PyramidA network of safeguards that surrounds the US securities industry - from individual brokerages all the way up to the US Congress.Similar MatchesRegulatory surplusRegulatory surplusThe surplus as measured using regulatory accounting principles (RAP), which may allow the nonmarket valuation of assets or liabilities and which may be materially different from economic surplus. 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. Regulatory pricing riskRegulatory pricing riskRisk that arises when insurance companies are subject to regulation of the premium rates that can they charge. Regulatory 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. Occupational Pensions Regulatory AuthorityOccupational Pensions Regulatory AuthorityThe Authority set up under the Pensions Act 1995 to make occupational pensions more secure. Further SuggestionsRegulatory News ServiceSelf Regulatory Organisation Financial Intermediaries Managers and Brokers Regulatory Association Self regulatory organization (SRO) |
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