Financial Regulation and Supervision - Conduct-of-business supervision
3 important questions on Financial Regulation and Supervision - Conduct-of-business supervision
Explain the regulation of financial institution?
The same conduct of business should apply to whoever (banks insurance companies investment firms) is offering long term savings product to retail customers.
Explain mandatory by conduct of business?
That is the right information at the right time -> transparency
Which elements apply through conduct of business regulation in a market function?
1) Transparancy 2)PROHIBITION OF INSIDER TRADING & MARKET MANIPULATION 3)Requirements for issuers /investers inclusing prosects and financial report and shareholders
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