Regulatory oversight refers to the ongoing monitoring and enforcement of regulations by government agencies or regulatory bodies to ensure compliance with laws, rules, and standards. This includes:

1. Regular examinations and audits

2. Review of financial reports and filings

3. Monitoring of trading activity and market conduct

4. Enforcement actions, such as fines, penalties, or legal action

5. Guidance and guidance letters to clarify regulatory expectations

6. Rulemaking and updates to regulations

7. Investigation of complaints and whistleblower tips

8. Coordination with other regulatory bodies and law enforcement agencies

Regulatory oversight aims to:

1. Protect investors and consumers

2. Maintain fair and efficient markets

3. Prevent fraud and illegal activities

4. Promote transparency and disclosure

5. Ensure compliance with laws and regulations

6. Foster a stable and resilient financial system

7. Encourage ethical business practices

8. Build public trust and confidence in the regulatory framework

By regularly monitoring and enforcing regulations, regulatory oversight helps maintain a fair, transparent, and stable financial system, protecting investors and promoting market integrity.