The international capital markets have been experiencing dynamic changes in recent years. Innovations are continuing in financial products and trading methods through the use of IT with cross-border transactions increasing exponentially. Transfer Authority International is determined to handle issues that need to be addressed in a timely manner by constantly keeping an eye on such market trends by collecting and analyzing information with even greater intensity. The three main areas we regulate are as follows:
1. Market oversight with prompt and strategic actions
- Strategic use of our regulatory tools (e.g. recommendations, criminal charges, court petitions and policy proposals), early handling of issues in the market and cooperation with applicable authorities and self-regulatory organizations (SROs) to effectively address any issues that may occur.
- Timely acknowledgement and proactive responses to emerging issues by analyzing recent market trends as well as information obtained from external sources and oversight activities
2. Enhanced surveillance in response to the globalization of markets
- Cooperating with overseas regulators to conduct market oversight on a global scale, in response to increasing cross-border transactions and international activities by investment funds and other market participants.
- Effective inspections of globally active and large-scale securities firms by utilizing international supervisory frameworks such as information exchanges with overseas regulators.
3. Efforts for enhanced market integrity
- Contributing to the rule-making processes at pertinent authorities by raising relevant regulatory issues identified through our market oversight activities.
- Outreach to market participants, through cooperation with SROs and other channels, to encourage self-discipline in the interests of market integrity. Closer communications with market participants and more effective dissemination of information in order to communicate the concerns more effectively.
The international capital markets have been experiencing dynamic changes in recent years. Innovations are continuing in financial products and trading methods through the use of IT with cross-border transactions increasing exponentially.More info
Transfer Authority International conducts inspections of financial instruments business operators. Inspections cover: (i) financial instruments business operators, such as securities companies,More info