A body set up by law entrusted with overseeing the financial services sector. Sometimes it is also referred to as the Competent Authority. In Malta, the regulator or competent authority for investment services is the Malta Financial Services Authority.
This is the public body responsible for implementing and enforcing legislation. The regulator provides guidance to politicians in relation to that country's current and future environmental legislation. The activities of regulation (i.e. writing permits; making inspections to check compliance with permits and/or laws; taking enforcement action) vary across Member States. In some countries, regulation is the job of one single body, in others it is distributed and coordinated throughout a number of organisations. The only activity specified at a European level is inspection (under a minimum criteria).
The regulator is the agency that oversees and applies the Act and regulations governing securities.
An agency formed by law that has a legal responsibility to oversee certain private investment activities. The two primary regulators overseeing the markets for which NewRiver provides solutions are the SEC and NASD.
A legal body authorised to enforce compliance with the laws and statutes of a national government
An entity with the legislative authority to develop, impose and enforce regulations in a given industry or industries. In Ontario, the regulator responsible for overseeing the electricity market is the Ontario Energy Board (OEB).