← Finance
Regulators & Supervisors
How the work actually runs, who does what, and the skill for each step.
Start from a situation
- “A bank's quarterly returns show its liquidity ratio falling for the third time.”Supervisor / reviewer · Ongoing Supervision → Regulatory returns
- “A prospectus landed in the review queue this morning.”Supervisor / reviewer · Offering & Disclosure Review → Financial and disclosure review
- “A stock jumped 30% the day before a takeover was announced.”Investigator · Market Surveillance & Enforcement → Surveillance alerts
Or walk through the whole thing
Licensing & Authorisation
Deciding whether a firm may enter the market — banks, brokers, fund managers, insurers, payment firms.
- Intake
- Assessment
- Decision
5 steps · 2 have a skill · 4 skills
Ongoing Supervision
Watching licensed firms through reported data, risk assessment and on-site examinations.
- Off-site monitoring
- Risk assessment
- On-site examination
- Follow-up
8 steps · 4 have a skill · 7 skills
Offering & Disclosure Review
Reviewing prospectuses and periodic reports — the other side of the IPO and bond issuance chains.
- Filing review
- Comments
- Clearance
5 steps · 1 have a skill · 2 skills
Market Surveillance & Enforcement
Detecting misconduct — insider dealing, manipulation, mis-selling, false disclosure — and taking action.
- Detection
- Investigation
- Action
6 steps · 3 have a skill · 3 skills