Regulatory
Forex Directory
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Regulatory
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The Financial Action Task Force on Money Laundering (FATF)
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http://www.fatf-gafi.org/ - The Financial Action Task Force on Money Laundering (FATF) is an inter-governmental body whose purpose is the development and promotion of policies, both at national and international levels, to combat money laundering. The Task Force is therefore a "policy-making body" which works to generate the necessary political will to bring about national legislative and regulatory reforms to combat money laundering. The FATF monitors members' progress in implementing anti-money laundering measures, reviews money laundering techniques and counter-measures, and promotes the adoption and implementation of anti-money laundering measures globally. In performing these activities, the FATF collaborates with other international bodies involved in combating money laundering. The FATF has been in existence since 1989.
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Australian Securities and Investments Commission (ASIC)
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http://www.asic.gov.au/ - Australian Securities and Investments Commission (ASIC) enforces company and financial services laws to protect consumers, investors and creditors. It regulate and inform the public about Australian companies, financial markets, financial services organisations and professionals who deal and advise in investments, superannuation, insurance, deposit taking and credit. The Australian Securities and Investments Commission Act 2001 requires ASIC to: uphold the law uniformly, effectively and quickly; promote confident and informed participation by investors and consumers in the financial system; make information about companies and other bodies available to the public; improve the performance of the financial system and the entities within it. ASIC work with other financial, consumer and law enforcement bodies in Australia and internationally. It is an independent Commonwealth government body.
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Canadian Securities Administrators (CSA)
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http://www.albertasecurities.com/ - Canadian Securities Administrators (CSA) - an association consisting of thirteen securities regulators across Canada, which seeks to harmonize securities regulation on a national basis through the development of the Canadian Securities Regulatory System. The regulatory context in Canada requires close co-operation and co-ordination with our counterparts across the country: factors that become increasingly important with the rapid pace of change in communication technologies. These technologies transcend political and geographical boundaries and have created what is, in essence, a global market for securities requiring international co-operation and co-ordination by securities regulatory authorities.
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Money Laundering Control Authority's (MLCA)
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http://www.gwg.admin.ch/ - Money Laundering Control Authority's (MLCA) is one of the supervisory authorities responsible for implementing the Money laundering Act. It is responsible for the supervision of all financial intermediaries in the non-banking sector that are subject to the Money Laundering Act. These in particular include all those financial intermediaries who, on a professional basis, accept, or hold in custody, assets belonging to third parties, or assist in investing or transferring such assets.
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Swiss Federal Banking Commission
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http://www.ebk.admin.ch/ - Swiss Federal Banking Commission - supervisory authority of wide areas of the financial sector in Switzerland. At present, it assumes, on an independent basis, the following tasks: supervision of banks; supervision of investment funds; supervision of mortgage bond business; supervision of stock exchanges and securities dealers; supervision of disclosure of shareholdings and public takeover bids. In addition to its core duties of supervision, the SFBC is also active in other areas that relate to Switzerland as a financial centre. It is, therefore, in constant contact with the Swiss Federal Department of Finance and the Swiss National Bank. In addition, it maintains regular contact with various associations, primarily the Swiss Bankers Association, the Swiss Funds Association and the Swiss Institute of Certified Accountants and Tax Consultants.
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Switzerland Federal Department of Finance
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http://www.admin.ch/ - The FDF plans and implements decisions of the Federal Council on resources in the following areas: Finances, Personnel, Construction and IT. It is the aim of its leadership to balance federal finances as healthy finances are the best guarantee of the country's future. The core activities of the FDF directly affect the performance of the social state and the attractiveness of Switzerland as a location for business. The FDF essentially performs three main functions: Policy Formulation ; Provision of Services; Implementation. Some 8000 people work in the Federal Department of Finance on a wide range of projects for Switzerland's future.
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Japan Financial Supervisory Agency (FSA)
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http://www.fsa.go.jp/ - Financial Supervisory Agency (FSA) - was established as an administrative organ (external organ of the Prime Minister's Office) responsible for the inspection and supervision of private sector financial institutions and surveillance of securities transaction. With the establishment of the Financial Reconstruction Commission, the FSA became an organization under the jurisdiction of the said Commission.
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Japan Ministry of Finance (MOF)
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http://www.mof.go.jp/ - The Ministry of Finance (MOF) is responsible for the country's fiscal and monetary matters. The MOF consists of the Minister's secretariat and seven bureaus. In addition to formulating the national budget, which is central to fiscal policy, the MOF monitors and guides banks and securities companies as to current monetary policy, adjusts the current balance of payments, and determines and maintains what MOF considers to be an appropriate level in foreign exchange rates. The MOF now tackles such major issues as fiscal structural reform and financial system reform. The Minister's special, local, and external organs include the Mint Bureau, the Printing Bureau, Local financial bureaus, Customs and Tariff Bureau, and the National Tax Agency.
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The Committee of European Securities Regulators (CESR)
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http://www.cesr-eu.org/ - The Committee of European Securities Regulators (CESR) was established by the European Commission Decision of June 2001. This decision was taken in the light of the recommendation of the Report of the Committee of Wise Men on the Regulation of European Securities Markets (Lamfalussy Report), as endorsed by the European Union (Stockholm, 23 March 2001). CESR is an independent Committee regrouping senior representatives from national public authorities competent in the field of securities (Members Directory). CESR has set out its own operational arrangements in its Charter. A representative of the European Commission is entitled to participate actively in all debates (except in confidential discussions related to individual and/or firms). CESR submits an Annual Report to the European Commission, which is also sent to the European Parliament and the Council. The Chair of CESR reports regularly to the European Parliament and maintains strong links with the European Securities Committee. All understandings, standards and work agreed within the Forum of European Securities Commission (FESCO) have been taken over by CESR.
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United States Treasury Department
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http://www.ustreas.gov/ - The basic functions of the Department of the Treasury include: Managing Federal finances; Collecting taxes, duties and monies paid to and due to the U.S. and paying all bills of the U.S.; Producing all postage stamps, currency and coinage; Managing Government accounts and the public debt; Supervising national banks and thrift institutions; Advising on domestic and international financial, monetary, economic, trade and tax policy; Enforcing Federal finance and tax laws; Investigating and prosecuting tax evaders, counterfeiters, forgers, smugglers, illicit spirits distillers, and gun law violators; Protecting the President, Vice President, their families, candidates for those offices, foreign missions resident in Washington and visiting foreign dignitaries.
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NASD
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http://www.nasd.com/ - NASD is charged with regulating the securities industry and The Nasdaq Stock Market®. NASD was created in 1938 by the Maloney Act amendments to the Securities Exchange Act of 1934. Through its many departments and offices, NASD's jurisdiction extends to over 5,300 firms with more than 93,000 branch offices, and over 664,000 securities industry professionals. NASD accomplishes this oversight through the registration, education, testing and examination of member firms and their employees, and through the creation and enforcement of rules designed for the ultimate benefit and protection of investors.
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Capital Markets Compliance®, LLC
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http://www.capitalmarketscompliance.com/ - Specializes in providing regulatory guidance for firms that offer securities products as well as banks requiring market risk management reviews. Clients range from one-person retail broker-dealer operations to full-scale multi registered representative broker-dealers, investment advisers, investment bankers, bank affiliated broker-dealers, state and national chartered banks, and financial holding companies.
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Regulatory Authorities
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