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Taxmanns Analysis Fintech Self Regulatory Organizations Sros And Rbi A Regulatory Symbiosis In The Digital Age
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Book Synopsis Taxmann's Analysis | Fintech Self-Regulatory Organizations (SROs) and RBI – A Regulatory Symbiosis in the Digital Age by : Taxmann
Download or read book Taxmann's Analysis | Fintech Self-Regulatory Organizations (SROs) and RBI – A Regulatory Symbiosis in the Digital Age written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-01-17 with total page 14 pages. Available in PDF, EPUB and Kindle. Book excerpt: The draft framework issued by the Reserve Bank of India (RBI) discusses the specifics of the FinTech Self-Regulatory Organization (SRO-FT). This document elaborates on its management structure, membership criteria, and collaborative efforts with regulatory authorities. Its primary goal is to establish a secure and robust digital financial environment, fostering principles of fairness, transparency, and innovative progress within the FinTech sector. This article discusses various rules and guidelines to ensure that the FinTech industry remains equitable and secure for all stakeholders, emphasizing the importance of collaboration between businesses and regulatory bodies.
Book Synopsis Taxmann's Analysis | The Future of FinTech – Balancing Innovation with Responsibility by : Taxmann
Download or read book Taxmann's Analysis | The Future of FinTech – Balancing Innovation with Responsibility written by Taxmann and published by Taxmann Publications Private Limited. This book was released on 2024-06-03 with total page 21 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Fintech Self-Regulatory Organization (SRO-FT) is a dedicated self-regulatory body for the FinTech sector, aimed at establishing industry standards and guidelines. Its primary purpose is to provide a framework for ethical conduct and responsible innovation within the industry. This article covers the following key aspects: ‣ The Need for Self-Regulation in FinTech ‣ Guiding Characteristics for an Effective SRO-FT in FinTech Innovation ‣ Key Requirements for Establishing a Credible SRO-FT ‣ Membership Guidelines for a Robust SRO-FT in FinTech ‣ 'Fit and Proper Criteria' for SRO-FT Board and Key Managerial Personnel ‣ Guidelines for Recognition as an SRO-FT ‣ Conditions for Issuance of 'Letter of Recognition' ‣ Functions and Responsibilities of SRO-FT in Ensuring Members' Compliance and Dispute Resolution
Book Synopsis Should Securities Industry Self-Regulatory Organizations be Considered Government Agencies? by : Roberta S. Karmel
Download or read book Should Securities Industry Self-Regulatory Organizations be Considered Government Agencies? written by Roberta S. Karmel and published by . This book was released on 2008 with total page 66 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities industry self-regulatory organizations (SROs) began as private sector membership organizations of securities industry professionals. This article addresses the questions of whether, and to what extent, securities industry SROs have become government agencies, and whether, and to what extent, they should be subject to constitutional and statutory controls on government agencies. It focuses principally on the Financial Industry Regulatory Agency (FINRA), a new entity which combined the National Association of Securities Dealers, Inc. (NASD) and the member regulation functions of NYSE Group, Inc. (NYSE). The cases addressing these critical issues are contradictory, and generally not based on any overriding constitutional law principles. In some areas, the courts have just stated that an SRO is exercising delegated governmental power. In other areas, the courts have just stated that an SRO is a private membership organization. Sometimes, courts have distinguished between the commercial and regulatory functions of SROs, in order to draw lines separating the laws applicable to government agencies from private sector organizations. The article will conclude that as long as the securities industry, rather than the SEC, controls the governance of FINRA and the selection of its Board of Governors, FINRA should not be held to be a government entity. This conclusion may be surprising to scholars and lawyers who have not considered the implications of changed SRO governance. Nevertheless, when FINRA is exercising investigative and disciplinary functions it should be treated like a government agency. Furthermore, to the extent practicable FINRA should operate according to transparency standards applicable to government bodies. Striking the right balance between private sector flexibility and constitutional and administrative law protections is critical to the future operation of FINRA and other securities industry SROs.
