self-regulating organisations
- self-regulating organisations
-
self-regulating organisations (SROs)
For further information, see the FSA website:
Practical Law Dictionary. Glossary of UK, US and international legal terms.
www.practicallaw.com.
2010.
Look at other dictionaries:
Self-Regulating Organisations — ( SROs) Bodies empowered by the Financial Services Authority to authorise certain investment businesses. There are three SROs: the Securities and Futures Authority, the Investment Management Regulatory Organisation and the Personal Investment… … Financial and business terms
self-regulating organisation — self regulating organisations (SROs) The now defunct organisations that regulated investment business in the UK. The former SROs were the Securities and Futures Authority (SFA), the Investment Management Regulatory Organisation ( … Law dictionary
Self -Regulating Organisation — ( SRO) Organisations that were set up under the Financial Services Act 1986 to be directly responsible for policing investment businesses. Financial Services Glossary … Financial and business terms
Self-Regulating Organisation — ( SRO) Organisations which are authorised and supervised to an extent by the SIB, to carry out particular finance functions e.g. SFA. LIFFE … Financial and business terms
self-regulatory organization — (SRO) USA A non government organization that has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and efficient practices. FINRA, NYSE and NASDAQ are examples of SROs … Law dictionary
self-regulatory organizations — self regulatory organization (SRO) USA A non government organization that has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and efficient practices. FINRA, NYSE and … Law dictionary
SROs — Self Regulating Organisations. Dresdner Kleinwort Wasserstein financial glossary … Financial and business terms
SRO — See: self regulatory organization Self Regulating Organisations. Dresdner Kleinwort Wasserstein financial glossary self regulatory organisation (SRO) In the UK a recognised controlling body which regulates a specified class of investment business … Financial and business terms
Personal Investment Authority — The Self Regulating Organisation (See Self Regulating Organisations) with responsibility for those marketing packaged investment products ( packaged products). Dresdner Kleinwort Wasserstein financial glossary Personal Investment Authority ( PIA) … Financial and business terms
IMRO — ( Investment Management Regulatory Organisation) A SRO (See Self Regulating Organisations) for fund managers. Dresdner Kleinwort Wasserstein financial glossary * * * The Investment Management Regulatory Organization. The UK authority… … Financial and business terms
