Regulatory agency
A public body with statutory authority to make rules, examine, license, investigate and penalise within a defined area.
Overview
Regulatory agencies take their power from legislation. Depending on the statute and jurisdiction, they may create regulations, conduct examinations, issue and revoke licences, investigate violations, impose penalties, refer criminal cases and publish guidance.
Examples include financial regulators such as the SEC, CFTC, OCC, FDIC, CFPB, OSFI, the FCA, ESMA and the EBA; health regulators such as the FDA, Health Canada, the EMA and the MHRA; privacy regulators such as the OPC, ICO, CNIL and Irish DPC; and sector regulators in telecommunications, energy and competition.
It connects most directly to Rulemaking, Examination, Licensing, Regulation and Regulatory guidance.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
Regulators are the authorities most organisations deal with day to day, and the most frequent source of new obligations.
Who it affects
Every organisation operating in a regulated sector.
Where it sits
Ten linked steps connect where you operate to the proof that you complied.
- 01Jurisdiction
- 02Industry
- 03Activity
- 04Authority
- 05Regulation
- 06Requirement
- 07Guidance
- 08Control
- 09Evidence
- 10Enforcement
Connections
The terms most closely tied to Regulatory agency. Select one to open it.
What to do about it
- 1List every body of this type with a say over you.
- 2Record the powers each one holds.
- 3Prioritise obligations by the consequences behind them.
From requirement to evidence.
Regulators are the busiest nodes in Regulation Layer’s graph: their rules, guidance and enforcement actions feed the change feed continuously.
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