Governing Bodies, Regulations, and Regulators

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Corporate Actions Regulators

 

 

The Securities Industry and corporate actions in particular are governed and regulated by several national and international bodies and regulations. Please note that often Corporate Actions as such is not dealt with as a topic on its own. Most of the regulations and the regulators below deal with a broader spectrum of issues which corporate actions will be part of (directly or indirectly).

The list below gives an impression; click on the links to learn more. They are organised by Continent. Where possible the links will directly lead you to the parts of the sites that deal with corporate actions.

 

Europe

 

MiFID Markets in Financial Instruments Directive (EU)

The European law that became effective 01.11.2007 that provides a harmonised regulatory regime for investment services accross the member states of the European Economic Erea. Although MiFID does not describe Corporate Actions as a topic in itself, Corporate Actions in Europe are subject to this directive.

 

Giovannini Group (EU)

The Giovannini Group is a group of financial market experts, under the chairmanship of Alberto Giovannini, CEO of Unifortune Asset Management SGR. The group advises the European Commission on financial market issues. Formed in 1996, it has focused its work on identifying inefficiencies in EU financial markets and proposing practical solutions to improve market integration. The field of Corporate Actions is one it covers.

 

Financial Services Authority FSA (UK)

The FSA is the Regulatory Body that governs the financial services industry, including the corporate actions industry, in the UK.

 

Bundesanstalt fuer Finanzdienstleistungsaufsicht BAFIN (GERMANY)

The BAFIN is the Regulatory Body that governs the financial services industry, including the corporate actions industry, in Germany.

 

Authoriteit Financiele Markten AFM (Netherlands)

The AFM is the Regulatory Body that governs the financial services industry, including the corporate actions industry, in the Netherlands.

 

Autorite des Marches Financiers AMF (France)

The AMF is the Regulatory Body that governs the financial services industry, including the corporate actions industry, in France.

 

Eidgenoessische BankenKommission EKB (Switzerland)

Historically the authority responsible for supervising the banking sector, the SFBC has with time developed into a supervisory authority responsible for broad areas of the financial sector.

 

Oesterreichische Finanzmarktaufsicht FMA (Austria)

The Regulatrory Body that governs the financial serives industry, including the corporate actions industry, in Austria.

 

Commissie voor het Bank- Financie- en assurantiewezen CBFA (Belgium)

The Regulatrory Body that governs the financial serives industry, including the corporate actions industry, in Belgium.

 

The Comisión Nacional del Mercado de Valores CNMV (Spain)

The agency in charge of supervising and inspecting the Spanish Stock Markets and the activities of all the participants in those markets. Corporate Actions is part of it.

more to follow...

 

Americas

In the united states several aspects of the financial services industry are regulated by several regulators and so called "Self-Regulatory Organizations" (SRO's). Click on the following link to get an impression of the various institutions that deal with regulation:

 

TreasuryDirect.gov

In our understanding, one of the organizations that comes closest to governing and regulating the corporate actions industry is the DTCC. Click on the following link to go to their "Global Corporate Actions" section on their website: Depository Trust & Clearing Corporation

more to follow...

 

 

Asia - Pacific

coming soon

 

 

Africa

coming soon

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