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Articles by Isation Regime
Trai Upholds Advisory Role in Telecom Authorisation Amendments
In a notable clash with the telecom department, the Telecom Regulatory Authority of India (Trai) on Friday emphasized the necessity of its recommendations before implementing substantial modifications in the telecom authorisation framework. The Department of Telecom contends that such changes can be conducted under existing laws without seeking Trai's input.
A Review of the UK and EU Approaches to Third Country Branches and Subsidiarisation
1. Background Financial centres around the world have been hosts to branches and representative offices of international banks since as early as the 19th century. The term “branch” refers to a local establishment of a foreign financial institution, such as a bank. They are typically subject to local authorisation requirements. Branches have no separate legal personality from their parent entity.
Financial Services Compliance in Spain | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The competent regulatory authorities in Spain are the Bank of Spain and the National Securities Market Commission (CNMV). Their specific functions are detailed in question 2. What activities does each national financial services authority regulate?
Financial Services Compliance in Brazil | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? Regulation and supervision of financial products and services are mostly entrusted to the National Monetary Council (CMN), the Central Bank of Brazil (Central Bank) and the Brazilian Securities Commission (CVM).
Financial Services Compliance in Australia | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Australian Securities and Investments Commission (ASIC) is Australia’s primary corporate, markets, financial services and consumer credit regulator.
Financial Services Compliance in Japan | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? Financial products and services in Japan fall principally under the regulatory oversight of the Financial Services Agency of Japan (JFSA).
Financial Services Compliance in Canada | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? Financial institutions (FIs) The Department of Finance is the government body responsible for federally regulated FIs (FRFIs), including banks, trust and loan companies, insurance companies and credit unions.
Financial Services Compliance in Italy | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The National Commission for Companies and the Stock Market (Consob) and the Bank of Italy are the national authorities that regulate the provision of financial services and products.
Financial Services Compliance in Hong Kong | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Hong Kong system of financial regulation reflects a modified institutional approach, with different regulators largely responsible for the oversight of different types of financial institutions.
Financial Services Compliance in Portugal | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in the USA | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in Singapore | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Monetary Authority of Singapore (MAS) is the sole national authority in Singapore regulating the provision of financial products and services. It is also the central bank of Singapore.
Financial Services Compliance in Germany | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in Switzerland | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Swiss Financial Market Supervisory Authority (FINMA) is the primary regulator in Switzerland for all types of financial services.
Financial Services Compliance in the United Kingdom | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The main piece of legislation specifying regulated financial services in the UK is the Financial Services and Markets Act 2000 (as amended) (FSMA) and its subordinate legislation.
Financial Services Compliance in Switzerland | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Swiss Financial Market Supervisory Authority (FINMA) is the primary regulator in Switzerland for all types of financial services.
Financial Services Compliance in the United Kingdom | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The main piece of legislation specifying regulated financial services in the UK is the Financial Services and Markets Act 2000 (as amended) (FSMA) and its subordinate legislation.
Financial Services Compliance in the USA | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in Portugal | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in Italy | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? Consob (the National Commission for Companies and the Stock Market) and the Bank of Italy are the national authorities that regulate the provision of financial services and products.
Financial Services Compliance in Belgium | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in China | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? China adopts a sector-based regulatory model for financial services, with separate regulators for banking, securities and insurance services.
Financial Services Compliance in Japan | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? Financial products and services in Japan fall principally under the regulatory oversight of the Financial Services Agency of Japan (JFSA).
Financial Services Compliance in Brazil | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? Regulation and supervision of financial products and services are mostly entrusted to the National Monetary Council (CMN), the Central Bank of Brazil (Central Bank) and the Brazilian Securities Commission (CVM).
Financial Services Compliance in Germany | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in Hong Kong | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Hong Kong system of financial regulation reflects a modified institutional approach, with different regulators largely responsible for the oversight of different types of financial institutions.
Financial Services Compliance in Singapore | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Monetary Authority of Singapore (MAS) is the sole national authority in Singapore regulating the provision of financial products and services. It is also the central bank of Singapore.
Financial Services Compliance in Spain | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The competent regulatory authorities in Spain are the Bank of Spain and the National Securities Market Commission (CNMV). Their specific functions are detailed in question 2. What activities does each national financial services authority regulate?
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