Financial services regulatory framework03版.pptVIP

Financial services regulatory framework Section 2 * 本节学习目标 1 General duties of the FSA 2 Role of the FSA in supervising 3 Impact of the regulatory objectives * General duties of the authority Acting in a way that is compatible with the regulatory objectives and using appropriate means to meet them 采取符合监管目标的方式，并且利用恰当手段达到监管目的 Discharging function： 1）consider the responsibilities of those who manage the affairs of authorized persons 要考虑事务授权人的职责 2）set appropriate rules 制定合理规则 3）the need for innovation in regulated activities 创新 4）ma