Capital Market Regulations

Regulations are an absolute necessity in the face of the growing importance of capital markets throughout the world. The development of a market economy is dependent on the development of the capital market.The regulation of a capital market involves the regulation of securities; these rules enable the capital market to function more efficiently and impartially.
A well regulated market has the potential to encourage additional investors to partake, and contribute in, furthering the development of the economy.

Also Explore: Capital Market Definition

Capital Market Regulatory Authorities Worldwide:

The chief capital market regulatory authorities worldwide are as follows:

  • U.S. Securities and Exchange Commission
  • Canadian Securities Administrators, Canada
  • Australian Securities and Investments Commission
  • Securities and Exchange Commission, Pakistan
  • Securities and Exchange Board of India
  • Securities and Exchange Commission, Bangladesh
  • Securities and Exchange Surveillance Commission
  • Securities and Futures Commission, Hong Kong
  • Financial Supervision Authority, Finland
  • Financial Supervision Commission, Bulgaria
  • Financial Services Authority, UK
  • Comision Nacional del Mercado de Valores, Spain
  • Authority of Financial Markets

U.S. Securities and Exchange Commission (SEC): Established in 1934, it has the responsibility of regulating and controlling the securities industry/stock market, and enforcing the federal securities laws.

Public companies have to keep in compliance with the statutory requirements by submitting quarterly and annual reports to the SEC; companies involved in fraudulent activities are brought to task. These submitted reports are essential, as investors require them in order to make crucial decisions before investing in the capital market.

Canadian Securities Administrators (CSA): It is responsible for the development of the Canadian Securities Regulatory System and regulates the capital market of Canada, protecting investors from fraudulent and nefarious activities. The CSA looks to establish a just, clear and dependable capital market system.

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Last Updated on : 22 July 2016

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