Regulatory Framework of Financial Institutions

A Zambian Perspective

kirjoittanut Dr. Lubinda Haabazoka
( 14 )
149 pages
This book explains the regulation of financial institutions from a Zambian perspective. It is intended for scholars taking Banking Law and Regulatory Framework for financial institutions.
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Dr. Lubinda Haabazoka is a Senior Lecturer in Economics, Banking and Finance in the School of Business at the Copperbelt University. He is currently Head of the Accounting and Finance Department. He holds a Master of Science degree in Finance and Credit with a specialization in Banking from Rostov St...


Regulatory Framework for Financial Institutions – a Zambian Perspective introduces, illustrates, and discusses the many aspects of financial institution regulation. The book is unique in that, it explains how the different segments of financial markets are regulated using Zambia as a case study. The book introduces theory on financial systems’ regulation and explains the various boundaries that exist within the financial system for the purpose of enforcing regulation. The book also looks at how money laundering and financial crime are prevented around the world.

  1. Overview of the Financial System
    1. Introduction
    2. Structure of the Financial System
    3. Financial System Boundaries
    4. Revision Questions
  2. Overview of Financial Institution Regulation
    1. Introduction
    2. The Priciples of Regulation
    3. Regulatory Structure
    4. Revision Questions
  3. Central Bank Regulation
    1. Introduction
    2. Rationale ¢ Central Bank Regulation
    3. Central Banking Around the World
    4. Functions of Central Banks
    5. The Bank ¢ Zambia Act
    6. Revision Questions
  4. Commercial Bank Regulation
    1. Introduction
    2. Overview of Commercial Banking
    3. Objectives of Commercial Bank Regulation
    4. Formation and Registration of Commercial Banks
    5. Prudential Supervision of Commercial Banks
    6. Taking Possession of Banks and Financial Institutions
    7. Insolvency Dissolution and Liquidation of Banks And Financial Institutions
    8. International Aspects of Commercial Bank Regulation
    9. Revision Questions
  5. Insurance Industry Regulation
    1. Introduction
    2. Overview of the Insurance Industry
    3. The Legal Framework and Regulatory Body
    4. Formation and Registration Insurers
    5. Regulation of Management and Shareholding of Insurers
    6. Transfer of Insurance Business
    7. Winding Up of Insurers
    8. Revision Questions
  6. Pension Fund Regulation
    1. Introduction
    2. Role of Pension Funds in an Economy
    3. Legal Framework for Pension Fund Regulation
    4. Registration of Pension Funds
    5. Prudential Regulation and Supervision of Pension Funds
    6. The Role of the Pension And Insurance Authority in the Regulation of Pension Funds
    7. Deregistration of Pension Funds
    8. Revision Questions
  7. Regulation of Building Societies
    1. Introduction
    2. Overview of Building Societies
    3. Formation and Registration of Building Societies
    4. Regulation of Building Society Management
    5. Roles of the Registrar and Minister of Finance in the Regulation of Building Societies
    6. Winding-Up and Dissolution of Building Societies
    7. Revision Questions
  8. Capital Market Regulation
    1. Introduction
    2. Overview of Capital Markets
    3. Objectives And Principles of Capital Market Regulation
    4. Legal Framework for Securities Markets Regulation
    5. Improper Trading Practices and the Compensation Fund
    6. The Roles of Institutions Involved in Securities Market Regulation
    7. Revision Questions
  9. Money Laundering and Financial Crime Prevention
    1. Introduction
    2. Overview of Money Laundering and Financial Crime
    3. Prohibition and Prevention of Money Laundering Legislation
    4. Revision Questions
This is a very interesting book being that it really explains most of the things in the world of finance.
4. syyskuuta 2017 klo 15.37
Powerful literature, worthy reading. If you want knowledge and valuable information about Financial institutions, why not go for this book!
4. syyskuuta 2017 klo 15.04
This is exceptional. This book just gave me more insights about FIs and has really brought about more clarity in my career path. Thank you Doc for your exceptional work.
4. syyskuuta 2017 klo 8.16
It is such a good book in terms of Regulatory Frameworks for Financial Institutions in Zambia. This is encouraging and worthy emulating especially that it is coming from a Zambian. I wish to congratulate him and wish this noble Dr. well as he continues to spread such wonderful knowledge.
7. maaliskuuta 2017 klo 10.25
It is indeed overwhelming to see a Zambian produce such information of high standard... I call this a job well done. very inspiring.. looking forward to more books to be published.
28. syyskuuta 2016 klo 22.55
Amazing literature right here! Different feel to every topic and in depth understanding of zambian finance regulatory boards formation and importantly regulation! Here is going A+ing with this book!!
26. syyskuuta 2016 klo 19.03
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