HNDFinancialServicesRegulatoryFramework金融服务业规范.docVIP

HND Financial Services Regulatory Framework金融服务业规范 Regulatory Objectives of the Authority (1) protection of customer Financial Services Authority must provide appropriate security for consumers, the level of protection to different investors and different levels of protection. According to different consumers experience and expertise of different, the organization provides counseling and accurate information to customers in need of different accounts given different levels of risk strategy. (2) reduction of financial crime Responsible for supervising banks, insurance and investment business, including securities and futures. Bank of England (BOE) under the Ministry of Finance with, FSA is responsible for financial services management, and BOE main task to maintain financial stability. this requires that the financial services authority reduces the possibility of a business being used for a purpose connected with financial crime, taking into account; 　1the awareness of any regulated persons of the risk of their business 对对对对对对对对对对对对对对他的的金融犯罪被任being for financial crime, and 何受管人士的,并对对对对对对对对对 　2subject to these regulated persons taking appropriate measures ro 受些管对对对对prevent, detect and monitor any financial crime taking place. 去人士采取适当的措施对对对对对对对对对对对对对对对对防,和控任何金融犯罪的生。 The Act defines regulated activities 1.Arranging This applies to making, or offering or agreeing to make: ,Arrangements with a view to another person buying, selling, subscribing for, or underwriting a particular investment, or ,Arrangements with a view to a person who participates in the arrangement buying, selling, subscribing for or underwriting investments.2.Deposit Taking Accepting deposits 3.Managing Investment Managing, or offering or agreeing to manage, other people’s assets if they consist of, or include, investments or may include investments, e.g. portfolio management activities undertaken by banks. 4.Investment Advice Giving, offering, or agreeing to give, to investors or potential inves