Securities and Investments Board
E489158
The Securities and Investments Board was the former UK financial markets regulator that oversaw securities and investment activities before being replaced by the Financial Services Authority.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Securities and Investments Board canonical | 2 |
Statements (42)
| Predicate | Object |
|---|---|
| instanceOf |
financial regulatory authority
ⓘ
former UK government agency ⓘ |
| appliesTo |
UK investment firms
ⓘ
UK securities markets ⓘ |
| collaboratedWith |
Bank of England
NERFINISHED
ⓘ
UK Treasury NERFINISHED ⓘ |
| country | United Kingdom ⓘ |
| dissolvedInto | Financial Services Authority NERFINISHED ⓘ |
| enforced | sanctions for regulatory breaches ⓘ |
| fieldOfWork |
investment regulation
ⓘ
market supervision ⓘ securities regulation ⓘ |
| focus |
investor protection
ⓘ
market integrity ⓘ |
| hasRole |
enforcement of financial regulations
ⓘ
oversight of financial market conduct ⓘ protection of investors ⓘ regulation of investment advice ⓘ regulation of securities trading ⓘ |
| industry |
financial services
ⓘ
securities and investments ⓘ |
| jurisdiction | United Kingdom ⓘ |
| legalForm | statutory regulator ⓘ |
| monitored |
compliance with securities laws
ⓘ
conduct of investment firms ⓘ |
| objective |
maintain confidence in UK financial markets
ⓘ
protect retail investors ⓘ reduce financial misconduct ⓘ |
| operatedIn | London NERFINISHED ⓘ |
| partOf | UK system of financial regulation ⓘ |
| precededBy | self-regulatory organisations in the UK financial sector ⓘ |
| regulates |
financial services firms
ⓘ
investment business ⓘ securities markets ⓘ |
| regulatoryApproach | rules-based regulation ⓘ |
| replacedBy | Financial Services Authority NERFINISHED ⓘ |
| sector | public sector ⓘ |
| supervised |
collective investment schemes
ⓘ
investment managers ⓘ securities dealers ⓘ stockbrokers ⓘ |
| typeOfRegulator | conduct regulator ⓘ |
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.
Big Bang (financial markets) 1986
→
regulatoryAuthorityInvolved
→
Securities and Investments Board
ⓘ