Module A: Philosophy, objectives and principles of financial regulation

Financial regulation can be approached from three different – albeit complementary – perspectives:

• The general philosophy – this is essentially a discussion of the nature of regulation, and describes the rationale of regulation and the philosophical approach of a country to the regulation of financial sector activity.
• The specific objectives to be attained through the regulation of financial sector activity.
• The broader principles to be applied when formulating regulatory arrangements and structures for the financial sector.

Although these three perspectives are closely related, it makes sense to discuss each separately. From the viewpoint of the financial sector practitioner the discussion will be on the principles that are most visible and, at the operational level, that are immediately relevant.

Executive summary

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An overview of this module is provided in the slideshow. This summary is intended for management to Keep Abreast of … and for those familiar with this topic the overview will  provide a review.

For a more in-depth discussion see the article which is provided in different formats.

Article

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• HTML version
• PDF version
• Audio version

Worksheet/Quiz

There is no worksheet or quiz for this module.

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