Securities & Futures Authority

Securities & Futures Authority
( SFA)
The SRO (See Self-Regulating Organisations) empowered to authorise firms engaged in dealing and advising on certain investments e.g. exchange members. Dresdner Kleinwort Wasserstein financial glossary

Financial and business terms. 2012.

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  • Securities and Futures Authority — (SFA) A former self regulating organisation that regulated firms dealing or arranging deals in stocks and shares, financial and commodity futures, options on securities and on foreign exchange. When the Financial Services and Markets Act 2000… …   Law dictionary

  • Securities and Futures Authority — Abbr. SFA. Dresdner Kleinwort Wasserstein financial glossary A Self Regulating Organisation ( SRO) that had responsibility for the regulation of firms engaged in the securities and futures sectors of the financial services market. Companies… …   Financial and business terms

  • Securities and Futures Authority Ltd — SFA The Self Regulating Organization formed from the merger of The Securities Association Ltd (TSA) and the Association of Futures Brokers and Dealers Ltd (AFBD) in April 1991. It was responsible for regulating the conduct of brokers and dealers… …   Accounting dictionary

  • Securities and Futures Authority Ltd — SFA The Self Regulating Organization formed from the merger of The Securities Association Ltd (TSA) and the Association of Futures Brokers and Dealers Ltd (AFBD) in April 1991. It was responsible for regulating the conduct of brokers and dealers… …   Big dictionary of business and management

  • Securities and Futures Authority — /sɪˌkjυərətiz ən fju:tʃəz ɔ:ˌθɒrəti/ noun in the UK, a self regulatory organisation which supervises the trading in shares and futures, now part of the FSA. Abbreviation SFA …   Dictionary of banking and finance

  • the Securities and Futures Authority — UK US noun FINANCE, STOCK MARKET ► SFA(Cf. ↑SFA) …   Financial and business terms

  • authority — A government or public agency created to perform a single function or a restricted group of related activities. Usually, such units are financed from service charges, fees, and tolls, but in some instances they also have taxing powers. An… …   Financial and business terms

  • Securities Commission — (SC) (Malay: Suruhanjaya Sekuriti ) is a main governing body in Malaysia. The main headquarters is in Bukit Kiara near National Science Centre, Kuala Lumpur.The following is taken from the SC website and gives a brief description of SC s… …   Wikipedia

  • Securities regulation in the United States — is the field of U.S. law that covers various aspects of transactions and other dealings with securities. It includes both Federal and state level regulation by purely governmental regulatory agencies, most notably the Federal level United States… …   Wikipedia

  • Securities and Exchange Commission — n. A federal agency that oversees the sale and issuing of corporate stocks and bonds and corporate takeovers. abbrv. SEC The Essential Law Dictionary. Sphinx Publishing, An imprint of Sourcebooks, Inc. Amy Hackney Blackwell. 2008. Securities and… …   Law dictionary

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