#regulatorsreview#

Photo: financebrokerage The history of the National Futures Association (NFA) dates back to the 1970s. More than 45 years ago, the U.S. Congress established the Commodity Futures Trading Commission (CFTC). Interestingly, the same legislation authorized the creation of registered futures associations

Photo: financebrokerage What is the AMF? The Autorité des Marchés Financiers (AMF), or Financial Markets Authority, is an independent administrative authority which regulates the French Financial market. The regulator protects and informs individuals about savings and regulates financial transaction

Photo: financebrokerage What is the CFTC? The CFTC, founded in the year 1975, is the United States Commodity Futures Trading Commission. It is an independent federal agency regulating futures for raw materials and the options market in the United States. Its main headquarters are in Washington, and

Photo: financebrokerage What is CIMA? The Cayman Islands Monetary Authority, CIMA, is the main regulator of financial services in the Cayman Islands. The objective of the agency is to regulate financial services and maintain monetary stability. It is responsible for its currency board’s supervision,

Photo: financebrokerage What is FINRA? The Financial Industry Regulatory Authority, FINRA, is a NGO approved by Congress to protect American traders. Formed in the year 2007, the organization is the result of the merger of the regulatory committee of the New York Stock Exchange (NYSE) and the Nation

Photo: financebrokerage What is the IIROC? The Investment Industry Regulatory Organization of Canada, IIROC, is a self-regulatory organization. It is charged with managing investment dealers, brokers, and trading activity in debt and equity markets in Canada. The organization protects investors and

Photo: financebrokerage The Securities and Exchange Commission (SEC) is a United States government oversight agency. Its responsibility is to regulate the securities markets and protect investors. It is an independent federal government regulatory agency that is responsible for protecting investors

Photo: financebrokerage In the year 2009, the European Union called for the financial markets to promote supervisory and direct supervision of credit rating agencies in the bloc. They called this the de Larosiere report, which essentially calls for a European System of Financial Supervision (ESFS).

Photo: financebrokerage ASIC, an independent Australian Government body is the country’s integrated corporate, markets, financial services and consumer credit regulator. It is set up under and administers the Australian Securities and Investments Commission Act 2001 (ASIC Act). It carries out most o

Photo: financebrokerage The Financial Markets Authority plays a critical role in capital markets and financial services in New Zealand. It is the country’s government agency responsible for financial regulation. It regulates all financial market participants, exchanges, and the setting as well as en