The Alternative Investment Fund Managers Directive (AIFMD) is a regulatory framework implemented by the European Union to oversee and regulate the management of alternative investment funds, enhancing investor protection and market stability.
A framework established by the European Union to regulate hedge funds and private equity firms, ensuring that they operate under supervision to mitigate systemic risk and protect investors.
A comprehensive guide to understanding the role, functions, and importance of the Financial Industry Regulatory Authority (FINRA) in maintaining market integrity and protecting investors.
The Financial Services Compensation Scheme (FSCS) is a protection mechanism, developed under the Financial Services and Markets Act 2000, aimed at safeguarding private investors from financial losses due to the default or bankruptcy of authorized investment firms.
An influential report on the protection of investors delivered to the UK government in 1984 by Professor Jim Gower, which laid the groundwork for the Financial Services Act 1986.
IOSCO is an international cooperative of securities regulatory agencies and organizations. It functions to develop, implement, and promote adherence to internationally recognized standards for securities regulation.
The Markets in Financial Instruments Directive (MiFID) is an EU directive that aims to increase competition and enhance investor protection by providing a comprehensive regulatory regime for financial services and markets throughout the European Economic Area. MiFID superseded the Investment Services Directive (ISD) in November 2007.
MiFID (Markets in Financial Instruments Directive) is a regulatory framework that standardizes the financial markets across the European Union, enhancing transparency and protecting investors.
The Public Company Accounting Oversight Board (PCAOB) is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and the public interest by promoting informative, accurate, and independent audit reports.
A Public Limited Company, abbreviated as PLC or (c.c.c.) in Welsh, is a type of company whose shares are traded freely on a stock exchange and can be bought by the general public. These companies adhere to more complex regulations and scrutiny to ensure transparency and protect investors.
The Sarbanes-Oxley Act of 2002, often abbreviated as SOX, is a United States federal law that mandates various regulations to improve the accuracy and reliability of corporate disclosures and to protect investors against fraudulent financial practices.
The Securities and Exchange Commission (SEC) is a U.S. government agency that oversees the securities markets and protects investors by enforcing securities laws and regulations.
The Securities and Exchange Commission (SEC) is a federal agency empowered to regulate and supervise the selling of securities, prevent unfair practices on security exchanges and over-the-counter markets, and maintain a fair and orderly market for investors.
The SEC is a key regulatory body in the United States that enforces securities laws to protect investors and ensure fair and efficient markets.
