Industry Regulations A - J


  • AIPA : The Italian Authority for Information Technology in Public Administration. AIPA ROME IDG Italy introduced a legally binding digital signature. The government is expected to authorise a number of organisations to act as digital key holders.   More >>
  • AML : Anti money laundering (AML) is a term mainly used in the financial and legal industries to describe the legal controls that require financial institutions and other regulated entities to prevent or report money laundering activities. AML guidelines came into prominence globally after the September 11, 2001 attacks and the subsequent enactment of the USA PATRIOT Act.   More >>
  • Basel II Capital Accord : Basel II is the second of the Basel Accords, which are recommendations on banking laws and regulations issued by the Basel Committee on Banking Supervision.   More >>
  • Basel III : The package, known as Basel III, sets a new key capital ratio of 4.5 per cent, more than double the current 2 per cent level, plus a new buffer of a further 2.5 per cent. Banks whose capital falls within the buffer zone will face restrictions on paying dividends and discretionary bonuses, so the rule sets an effective floor of 7 per cent. The new rules will be phased in from January 2013 through to January 2019.   More >>
  • Boiler Room : A scam involving unsolicited calls, often from overseas, offering you company shares which may be worthless and give you no right to complain or get compensation if things go wrong.   More >>
  • BSI PD0008 : BSI DISC PD0008 is the current British Standard document relating to 'Legal Admissibility and Evidential Weight of Information Stored Electronically'. It sets a benchmark for procedures that business should follow in order to achieve best practice, and therefore, legal admissibility of their electronic documents.   More >>
  • Canadian Electronic Evidence Act : Regulations that set out the general requirements institutions must meet in order to use electronic documents when dealing with stakeholders.   More >>
  • Data Protection : The responsibilities and obligations to data protection. When handling personal information about individuals, there are a number of legal obligations to protect that information under the Data Protection Act 1998.   More >>
  • Dodd-Frank Act : The Dodd-Frank law tries to restructure US regulation to force regulators to consider institutions in the light of what they do - rather than what they nominally are.   More >>
  • Electronic Ledger Storage Law : “Electronic Ledger Law” (enforced July 1999) encompasses the electronic storage of ledgers input on computers without a hard copy.   More >>
  • European Supervisory Services (ESA) : The regulation of financial services across Europe is now overseen by three ESAs. European Securities and Markets Agency (ESMA), the European Banking Agency (EBA) and the European Insurance and Occupational Pensions Authority (EIOPA). The objective is to raise standards of national supervision across the EU.   More >>
  • Exchange Traded Fund (ETF) : An open-ended investment fund which tracks certain indexes and is bought and sold on an exchange rather than through a fund manager.   More >>
  • FATCA : In January 2013, the US will implement a new law called the Foreign Account Tax Compliance Act (Fatca), that forces all global financial companies to report details to the IRS, the US tax authority, of any clients linked to the US with more than $50,000 in an account. Tax related regulation that impacts UK institutions. This legislation aims to tackle offshore tax evasion.   More >>
  • FDA 21 CRF Part 11 : Requirements to ensure that electronic records and electronic signatures are trustworthy, reliable, and compatible with FDA's public health responsibilities.   More >>
  • Financial Conduct Authority : The FCA regulate the financial services industry in the UK. Their aim is to protect consumers, ensure the industry remains stable and promote healthy competition between financial services providers.   More >>
  • GDPdU & GoBS : Regulation for the storage of digital documents and the duty of taxpayers to provide access to accounting systems in tax audits.   More >>
  • Financial Services Compensation Scheme (FSCS) : The scheme whereby compensation maybe paid to customers of an authorised firm if it is unable, or likely to be unable, to pay claims against it.   More >>
  • Glass-Steagall Act : The Banking Act of 1933, which sought to prevent a repeat of the mass bank collapses seen in the Great Depression. It was largely a reaction to the perception that banks had run into trouble through their securities business.   More >>
  • HIPAA : HIPAA protects health insurance coverage for workers and their families when they change or lose their jobs. Title II of HIPAA, known as the Administrative Simplification (AS) provisions, requires the establishment of national standards for electronic health care transactions and national identifiers for providers, health insurance plans, and employers.   More >>
  • IFRS : International Financial Reporting Standards (IFRS) are principles-based Standards, Interpretations and the Framework (1989) adopted by the International Accounting Standards Board (IASB).   More >>
  • Investment Services Directive (ISD) : The aim of the ISD was to set out basic high-level provisions governing the organisational and conduct of business requirements that should apply to firms. It also aimed to harmonise certain conditions governing the operation of regulated markets. The Directive has been replaced by MiFid.   More >>
  • ISO 18501 / 18509 : Compliance and risk management regulation requirement for retaining and protection of business information from premature deletion or malicious modification.   More >>
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