Financial services and their regulation by Keith Popplewell

Cover of: Financial services and their regulation | Keith Popplewell

Published by Chartered Insurance Institute in Sevenoaks .

Written in English

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Edition Notes

Financial Planning Certificate FP1.

Book details

StatementKeith Popplewell and George Stride.
ContributionsChartered Insurance Institute., Life Insurance Association.
ID Numbers
Open LibraryOL22824598M
ISBN 101853691445

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The first part introduces financial services regulation, its purpose, how it is created (especially in the EU and in the US), and it develops a framework for including regulations into the strategic planning of a company.

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regulation has assumed added importance with the growing com-plexity of the financial system and the recent passage of major banking legislation.

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Financial regulation in the United States, and elsewhere in the developed world, breaks down into two basic categories: safety-and-soundness regulation and compliance.

While this entry focuses on U.S. financial services regulation, it broadly reflects what occurs elsewhere. Financial. Financial regulations protect consumers’ investments. Regulations prevent financial fraud and limit the risks financial institutions can take with their investors’ money.

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