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Financial and Securities Regulation Information The oversight of financial markets and companies is offered by the financial and securities regulatory agencies, which are government functional bodies. These agencies play different roles and they also have different responsibilities. They do not depend on anyone when they are working even though their objectives are identical. There is criticism on the efficiency of the agencies, but their existence is indefinite. The following text contains several functions of the agencies. Stirring the Economy Some financial and security agencies work to stimulate the economy through influencing overall credit conditions, money and liquidity. The tools that control the buying and selling of treasury and agency securities are applied by the agencies. The agencies foster the stability of the banking system through regulating that interest rates and supervising the banking system. Insuring Deposits There are agencies that offer protection on individual’s and entities’ bank deposits. This insurance ensures that a depositor does not lose their money in case of any eventuality. The amount of deposit from an individual or an entity is usually limited to the provision of the insurance.
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Regulating Currency It is necessary to ensure that there is competition between banks. It means that there should be a regulatory agency that oversees the provision of charters to the banks. The main objective of such an agency is to maintain a sound banking system through supervision, regulation and provision of charter to the banks. In addition, the agencies facilitate the efficiency of services of finance and banking.
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Watching Over the public sale of Securities Some agencies foster efficiency when members of public want to trade in securities. These agencies bridge the gap between the customers and brokers. Training, licensing and testing financial professionals are the main duties of the agencies. Additionally, they arbitrate and mediate on disagreements that arise between customers and brokers. Supervising Insurance The agencies monitor, review and oversee the operations of the insurance industry. There is monitoring, reviewing and overseeing the operations of the insurance industry by the agencies. Consumer protection, investigations on criminal activities, and law enforcement are some of the activities that the agencies carry out in their main objective of sanitizing the insurance industry. Notably, these agencies act when representing the state. Enforce Securities Law The agencies that enforce the securities laws act independently from governments. They display power and comprehensiveness above other agencies. Some of the elements that they cover include stocks and options exchanges, options markets, and securities and exchanges that use electronic mediums. There is a non-direct link between people and the agencies, but people still feel the impact of the agencies’ regulations. Some of the areas that make the impact to be felt most include liquidity, credit markets and interest rates application. It translates into an indirect effect on a common person by the agencies.


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