The International Regulatory Environment (CISI Global Financial Compliance)

Описание: In this video module (part of our CISI Global Financial Compliance eLearning program) we will discuss the risk of monetary loss that can arise from many types of financial transactions has meant that financial markets have always been subject to the need for rules and codes of conduct to protect investors and the general public. The development of such rules and the extent to which they are enforced has varied from country to country. Typically, as financial markets develop and wealth increases, the sale of financial products increases too. Agreeing standards of behaviour and providing mechanisms for dispute resolution is a key part of this development. These standards, rules and codes of conduct may be established through self-regulation under, for example, stock exchange membership or by means of a statutory approach where governments provide enabling legislation and establish statutory-based regulatory authorities. Integrity and ethical behaviour are always key parts of codes of conduct but are experiencing a resurgence of focus by governments, regulatory bodies and professional bodies. As financial markets have become increasingly global in nature, and interdependence has grown, countries have generally seen a move from self-regulation to a statutory approach. This has facilitated international cooperation and the development of improved and common standards.

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