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 regulated by the SFA were those engaged in dealing or advising in securities or derivatives including shares, bonds, traded options, corporate finance and futures. All regulatory functions of the SFA were taken over by the Financial Services Authority in December 2001. Dresdner Kleinwort Wasserstein financial glossary
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Securities and Futures Authority ( SFA)
The self-regulating organisation ( SRO) which has responsibility for regulating all firms engaged in the Securities and Futures sector of the financial services market. However, since December 2001 all regulatory functions of the SFA has been absorbed into the Financial Services Authority. Financial Services Glossary
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SFA (Securities and Futures Authority)
Now included within the FSA, the Securities and Futures Authority ( SFA) was the Self Regulating Organisation responsible for regulating the conduct of brokers and dealers in securities, options and futures - including most member firms of the Exchange. London Stock Exchange Glossary
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Securities and Futures Authority Seˌcurities and ˈFutures Auˌthority abbreviation SFA noun FINANCE LAW ORGANIZATIONS
in Britain, a government organization that makes sure that broker S obey the law. It is part of the Financial Services Authority
Financial and business terms. 2012.