Self-Regulating Organisations

Self-Regulating Organisations
( SROs)
Bodies empowered by the Financial Services Authority to authorise certain investment businesses. There are three SROs: the Securities and Futures Authority, the Investment Management Regulatory Organisation and the Personal Investment Authority. Dresdner Kleinwort Wasserstein financial glossary

Financial and business terms. 2012.

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  • self-regulating organisations — (SROs) The now defunct organisations that regulated investment business in the UK. The former SROs were the Securities and Futures Authority (SFA), the Investment Management Regulatory Organisation (IMRO) and the …   Law dictionary

  • self-regulating organisation — self regulating organisations (SROs) The now defunct organisations that regulated investment business in the UK. The former SROs were the Securities and Futures Authority (SFA), the Investment Management Regulatory Organisation ( …   Law dictionary

  • Self -Regulating Organisation — ( SRO) Organisations that were set up under the Financial Services Act 1986 to be directly responsible for policing investment businesses. Financial Services Glossary …   Financial and business terms

  • Self-Regulating Organisation — ( SRO) Organisations which are authorised and supervised to an extent by the SIB, to carry out particular finance functions e.g. SFA. LIFFE …   Financial and business terms

  • self-regulatory organization — (SRO) USA A non government organization that has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and efficient practices. FINRA, NYSE and NASDAQ are examples of SROs …   Law dictionary

  • self-regulatory organizations — self regulatory organization (SRO) USA A non government organization that has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and efficient practices. FINRA, NYSE and …   Law dictionary

  • SROs — Self Regulating Organisations. Dresdner Kleinwort Wasserstein financial glossary …   Financial and business terms

  • SRO — See: self regulatory organization Self Regulating Organisations. Dresdner Kleinwort Wasserstein financial glossary self regulatory organisation (SRO) In the UK a recognised controlling body which regulates a specified class of investment business …   Financial and business terms

  • Personal Investment Authority — The Self Regulating Organisation (See Self Regulating Organisations) with responsibility for those marketing packaged investment products ( packaged products). Dresdner Kleinwort Wasserstein financial glossary Personal Investment Authority ( PIA) …   Financial and business terms

  • IMRO — ( Investment Management Regulatory Organisation) A SRO (See Self Regulating Organisations) for fund managers. Dresdner Kleinwort Wasserstein financial glossary * * *    The Investment Management Regulatory Organization. The UK authority… …   Financial and business terms

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