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The Regulation of Non-bank Financial Institutions

The United States, the European Union, and Other Countries

World Bank Discussion Paper No. 362. There has been tremendous growth worldwide in the mobilization of financial resources outside traditional banking systems. Channeled mainly through capital markets, such rapid financial diversification is posing new challenges for regulators in many emerging markets. This document describes the various aspects and implications of this growth, reviews the regulatory framework adopted in some mature market economies, including the United States and the European Union, and discusses regulatory issues in emerging markets.

An Introduction to Non-Bank Financial Institutions There are two broad types of
non-bank financial institutions (NBFIs). The first include securities broker-dealers,
or similar organizations performing investment banking type functions, such as ...