U.S. Financial Regulations. COURSE OVERVIEW. 1) INTRODUCTION 2) FINANCIAL INSTITUTIONS & SERVICES 3) LEGAL SOURCES & DEVELOPMENTS 4) BANKING, SECURITIES, INSURANCE 5) FINANCIAL CRISIS & REFORMS 6) INTERNATIONAL FINANCIAL SYSTEMS 7) CLASS PRESENTATIONS. INTRODUCTION. REGULATORY SYSTEM.
Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.
2) FINANCIAL INSTITUTIONS & SERVICES
3) LEGAL SOURCES & DEVELOPMENTS
4) BANKING, SECURITIES, INSURANCE
5) FINANCIAL CRISIS & REFORMS
6) INTERNATIONAL FINANCIAL SYSTEMS
7) CLASS PRESENTATIONS
DEPARTMENT OF THE TREASURY
FEDERAL RESERVE SYSTEM (FED)
FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC)
1933 Banking Act (“Glass-Steagall Act”)
1956 Bank Holding Company Act
1999 Financial Services Modernization Act (“Gramm-Leach-Bliley Act”)
NEW YORK STOCK EXCHANGE (NYSE)
SECURITIES AND EXCHANGE COMMISSION (SEC)
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD)
SECURITIES INVESTOR PROTECTION CORPORATION (SIPC)
Many countries (e.g. UK) have consolidated their financial regulatory structure, but the US has chosen to maintain its structure.
Financial Services Regulators communicate across financial sectors, but do not effectively identify cross-cutting risks, fraud and abuse.
Need to monitor risks across
global standards and harmonization
EUROPEAN UNION FINACIAL SERVICES PLAN