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Conflicts Of Interest In Self Regulation
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Book Synopsis Conflicts of Interest in Self-regulation by : John W. Carson
Download or read book Conflicts of Interest in Self-regulation written by John W. Carson and published by World Bank Publications. This book was released on 2003 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: The author examines the implications of demutualization of financial exchanges for their roles as self-regulatory organizations. Many regulators and exchanges believe that conflicts of interest increase when exchanges convert to for-profit businesses. Demutualization also changes the nature of an exchange's regulatory role as broker-dealers' ownership interests are reduced. These factors are leading to reduced regulatory roles for exchanges in many jurisdictions. The resulting changes have significant implications for regulation of financial markets, especially as exchanges are the only self-regulating organizations (SROs) in most countries. Major changes in the role of exchanges require a rethinking of the allocation of regulatory functions and the role of self-regulation, as well as stronger mechanisms to mitigate conflicts of interest. Carson looks at the views of both exchanges and regulators on these issues in Asian, European, and North American jurisdictions where major exchanges have converted to for-profit businesses. He finds that views on the conflicts of interest faced by demutualized exchanges vary widely. In addition, the tools and processes used by exchanges and regulators to manage conflicts also differ significantly across jurisdictions. The author concludes that new and greater conflicts result from demutualization and canvasses the regulatory responses in the jurisdictions examined.
Book Synopsis Conflicts of Interest in Self-Regulation by : John W. Carson
Download or read book Conflicts of Interest in Self-Regulation written by John W. Carson and published by . This book was released on 2016 with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt: Carson examines the implications of demutualization of financial exchanges for their roles as self-regulatory organizations. Many regulators and exchanges believe that conflicts of interest increase when exchanges convert to for-profit businesses. Demutualization also changes the nature of an exchange's regulatory role as broker-dealers' ownership interests are reduced. These factors are leading to reduced regulatory roles for exchanges in many jurisdictions. The resulting changes have significant implications for regulation of financial markets, especially as exchanges are the only self-regulating organizations (SROs) in most countries. Major changes in the role of exchanges require a rethinking of the allocation of regulatory functions and the role of self-regulation, as well as stronger mechanisms to mitigate conflicts of interest.Carson looks at the views of both exchanges and regulators on these issues in Asian, European, and North American jurisdictions where major exchanges have converted to for-profit businesses. He finds that views on the conflicts of interest faced by demutualized exchanges vary widely. In addition, the tools and processes used by exchanges and regulators to manage conflicts also differ significantly across jurisdictions. The author concludes that new and greater conflicts result from demutualization and canvasses the regulatory responses in the jurisdictions examined.This paper - a product of the Financial Sector Operations and Policy Department - is part of a larger effort in the department to study the development of securities markets in emerging markets.
Author :The Law The Law Library Publisher :Createspace Independent Publishing Platform ISBN 13 :9781721037872 Total Pages :50 pages Book Rating :4.0/5 (378 download)
Book Synopsis Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (Sros) (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) by : The Law The Law Library
Download or read book Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (Sros) (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 50 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 This book contains: - The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Author :The Law The Law Library Publisher :Createspace Independent Publishing Platform ISBN 13 :9781721038626 Total Pages :28 pages Book Rating :4.0/5 (386 download)
Book Synopsis Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) by : The Law The Law Library
Download or read book Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition) written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 28 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commission hereby adopts its final definition of "public director" for the acceptable practices to Section 5(d)(15) ("Core Principle 15") of the Commodity Exchange Act ("CEA" or "Act"). (1) In addition, the Commission is lifting the stay it had previously placed on these acceptable practices. All designated contract markets ("DCMs") must demonstrate full compliance with Core Principle 15, via the acceptable practices or otherwise, within one year of this document's publication in the Federal Register. The acceptable practices and their procedural history are summarized below, as is the final definition of public director. This book contains: - The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Book Synopsis Virtue Ethics and Professional Journalism by : Aaron Quinn
Download or read book Virtue Ethics and Professional Journalism written by Aaron Quinn and published by Springer. This book was released on 2018-10-30 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book examines the moral role of news media practitioners and organizations, and applies a modified philosophical account of Virtue Ethics as a framework for the role of journalists—and journalism organizations—in public life. It shows how journalists and news organizations that adopt an aim towards professional excellence (virtue) by putting a premium on investigative journalism—with both large and small measures depending on the nature of the reporting—can achieve lofty professional goals under modern deadlines. The news media, both electronic and traditional, are imperative to an informed public, and an informed public is critical to a properly functioning cross-section of social, government and corporate domains. The book emphasizes the virtues of justice and integrity as foundational to professional practice. It examines the modern ethical challenges presented by organizations ranging from online upstarts to massive media conglomerates, each that have economic challenges that can inhibit professional excellence through corruption or corrosion. The author applies his account of virtue—bolstered by suggestions for complementary reforms in education and regulation—to improve an ethically challenged industry as it undergoes significant technological change.
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :64 pages Book Rating :4.0/5 ( download)
Book Synopsis A Review of Self-regulatory Organizations in the Securities Markets by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book A Review of Self-regulatory Organizations in the Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2007 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Corporate Governance, Financial Markets and Global Convergence by : Morten Balling
Download or read book Corporate Governance, Financial Markets and Global Convergence written by Morten Balling and published by Springer Science & Business Media. This book was released on 2013-11-11 with total page 358 pages. Available in PDF, EPUB and Kindle. Book excerpt: for many years been heavily dependent on bank financing, and this situation has not changed fundamentally. In his paper on stock exchange governance in the European Union Guido Ferrarini discusses the relative merits of member and investor ownership and compares stock exchange regulation in a number of EU countries. Faced with increasing competition amongst themselves and against other enterprises that offer transaction services, such as proprietary trading systems, it is essential for European stock exchanges to improve their efficiency and to generate volume. Large investments in new information technology are necessary in order to preserve competitiveness in agIobaI financial market. The implementation of the ISD has accelerated cross-border transaction activity of member firms and investors and strengthened the pressure for convergence of national stock exchange laws in the EU. In their paper, Francesco Giavazzi and Marco Battaglini look at the role played by banks in privatization processes. Banks can be involved in such processes in several ways. They may themselves be the objects of privatization since in many countries a significant fraction of the banking industry is publicly owned. This is the case in France, Spain and Italy. But banks can also be important buyers of the equity of industrial firms sold by the government if they are allowed to do so. The authors characterize privatizations as a very good opportunity to set up the right environment for the development of new financial intermediaries and in general for asound corporate governance system.
Book Synopsis Conflicts of Interest by : Luc Thévenoz
Download or read book Conflicts of Interest written by Luc Thévenoz and published by Kluwer Law International B.V.. This book was released on 2007-01-01 with total page 422 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of interest arise naturally in all walks of life, particularly in business life. As general and indeed inevitable phenomena, conflicts of interest should not be prohibited but properly managed. This book presents indepth analysis of such management in three areas of corporate governance where the conflict-of-interest problems are particularly acute: executive compensation, financial analysis, and asset management. ""Conflicts of Interest"" presents the results of a two-year-long research project bringing together academics and practitioners in both law and finance from Europe and the.
Download or read book Interest written by Richard Swedberg and published by McGraw-Hill Education (UK). This book was released on 2005-08-16 with total page 138 pages. Available in PDF, EPUB and Kindle. Book excerpt: One of the central questions in social science is ‘Why do people behave as they do?’ A common social scientific answer is, ‘because of their interests’. Despite the importance of the concept of interest for the social sciences, it has been surprisingly little discussed, and many aspects of its general history and many uses are largely unknown. In this book, Richard Swedberg attempts to remedy this situation through an easily accessible introduction to the topic, starting with a history of the concept that covers the origin of the word and its early use in philosophy, political science, literature and everyday language. He then pioneers an analysis of the emergence of interest as a sociological concept during the 19th century. Arguing that economists have reduced the concept of interest to that of economic interest, he emphasizes that sociologists, in contrast, have attempted to develop a flexible and social concept of interest. Moving on to a discussion of the contemporary use of the concept of interest in economics, sociology and political science, the book concludes with a discussion of the potential of the concept of interest as a policy tool.
Book Synopsis Conflicts of Interest and the Future of Medicine by : Marc A. Rodwin
Download or read book Conflicts of Interest and the Future of Medicine written by Marc A. Rodwin and published by Oxford University Press. This book was released on 2013-10-03 with total page 392 pages. Available in PDF, EPUB and Kindle. Book excerpt: Offers a comparison of medical practices in the United States, Japan, and France and the variations of type and prevalence of physcians' conficts of interest.
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages :136 pages Book Rating :4.0/5 ( download)
Book Synopsis Self-regulatory Organizations by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Download or read book Self-regulatory Organizations written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and published by . This book was released on 2006 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Conflict of Interest in Medical Research, Education, and Practice by : Institute of Medicine
Download or read book Conflict of Interest in Medical Research, Education, and Practice written by Institute of Medicine and published by National Academies Press. This book was released on 2009-09-16 with total page 436 pages. Available in PDF, EPUB and Kindle. Book excerpt: Collaborations of physicians and researchers with industry can provide valuable benefits to society, particularly in the translation of basic scientific discoveries to new therapies and products. Recent reports and news stories have, however, documented disturbing examples of relationships and practices that put at risk the integrity of medical research, the objectivity of professional education, the quality of patient care, the soundness of clinical practice guidelines, and the public's trust in medicine. Conflict of Interest in Medical Research, Education, and Practice provides a comprehensive look at conflict of interest in medicine. It offers principles to inform the design of policies to identify, limit, and manage conflicts of interest without damaging constructive collaboration with industry. It calls for both short-term actions and long-term commitments by institutions and individuals, including leaders of academic medical centers, professional societies, patient advocacy groups, government agencies, and drug, device, and pharmaceutical companies. Failure of the medical community to take convincing action on conflicts of interest invites additional legislative or regulatory measures that may be overly broad or unduly burdensome. Conflict of Interest in Medical Research, Education, and Practice makes several recommendations for strengthening conflict of interest policies and curbing relationships that create risks with little benefit. The book will serve as an invaluable resource for individuals and organizations committed to high ethical standards in all realms of medicine.
Book Synopsis Conflict of Interest in Global, Public and Corporate Governance by : Anne Peters
Download or read book Conflict of Interest in Global, Public and Corporate Governance written by Anne Peters and published by Cambridge University Press. This book was released on 2012-11-29 with total page 489 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflict of interest occurs at all levels of governance, ranging from local to global, both in the public and the corporate and financial spheres. There is increasing awareness that conflicts of interest may distort decision-making processes and generate inappropriate outcomes, thereby undermining the functioning of public institutions and markets. However, the current worldwide trend towards regulation, which seeks to forestall, prevent and manage conflicts of interest, has its price. Drawbacks may include the stifling of decision-making processes, the loss of expertise among decision-makers and a vicious circle of distrust. This interdisciplinary and international book addresses specific situations of conflict of interest in different spheres of governance, particularly in global, public and corporate governance.
Book Synopsis Intrinsic and Extrinsic Motivation by : Carol Sansone
Download or read book Intrinsic and Extrinsic Motivation written by Carol Sansone and published by Elsevier. This book was released on 2000-09-12 with total page 513 pages. Available in PDF, EPUB and Kindle. Book excerpt: In understanding human behavior, psychologists have long been interested in what motivates specific actions. Debates have pitted extrinsic motivators (e.g. rewards/punishment) against intrinsic motivation in attempting to determine what best motivates individuals. This book provides a summary view of what research has determined about both extrinsic and intrinsic motivation, and clarifies what questions remain unanswered. Divided into three sections, section I revisits the debate about the effects of extrinsic incentives or constraints on intrinsic motivation and creativity, and identifies theoretical advances in motivational research. Section II focuses on the hidden costs and benefits of different types of achievement goals on motivation and performance. Section III discusses theory and research findings on how extrinsic and intrinsic motivators may work in everyday life and over time. This book is of interest to researchers in psychology, education, and business, as well as to a wider audience interested in promoting optimal motivation and performance.Coverage in this book includes:* Debates and controversies in motivational research* Developmental nature of intrinsic and extrinsic motivation over time* Influences of parents, educators, and employers in facilitating motivation* Effect of achievement goals on learning and performance* The role of intrinsic and extrinsic motivation in self-regulation Key Features* Brings together major figures in the fields of motivation, education, and social psychology* Provides a mix of theory, basic and applied research* Presents research conducted both in laboratories and educational settings* Comprehensive chapters provide excellent reviews of previous literature as well as outlines important new directions* Provides different perspectives on controversial debates in a balanced, constructive manner
Book Synopsis Conflict of Interest in the Professions by : Michael Davis
Download or read book Conflict of Interest in the Professions written by Michael Davis and published by Oxford University Press. This book was released on 2001-11-01 with total page 364 pages. Available in PDF, EPUB and Kindle. Book excerpt: The notion of conflict of interest is more relevant today than ever. Ethical sensitivities about the relationship between professionals and those they serve is a source of constant debate. This book sets a new standard for work on this perennial topic, collecting a set of practical essays by top applied ethicists on a wide variety of professions and occupations. Some conflicts of interest arise because a profession takes on many roles while serving one goal; others take on one role but serve multiple goals. Some conflicts are internal to the profession; others (such as family or business connections) are external. The essays in this volume address such diverse conflicts in a comprehensive way, in an attempt to make useful comparisons across professions. Containing fifteen original chapters by noted scholars of applied ethics, this volume systematically explores professions including law, medicine, journalism, engineering, financial services, anthropology, film, physical therapy, and literary criticism. An introductory chapter surveys and contextualizes work on the topic, while the concluding chapter offers us a new way to compare conflicts of interest across professions and occupations. Conflict of Interest in the Professions will be of great practical interest to scholars of applied ethics and law, as well as to professionals in the fields discussed
Book Synopsis The Health of Populations by : Jack James
Download or read book The Health of Populations written by Jack James and published by Academic Press. This book was released on 2015-11-02 with total page 526 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Health of Populations: Beyond Medicine uses current research and in-depth analysis to provide insights into the issues and challenges of population health; a subject of increasing concern, due largely to rapid population growth, population aging, rising costs and diminishing resources, health inequality, and the global rise in noncommunicable diseases. Reducing the global burden of disease requires prevention of disease incidence, which is achievable through reduction of exposure to primary (behavioral) and secondary (biomedical) risk factors. The 15 chapters of the book are divided into three sections that focus on the science of health, the harm of medicine, and how to achieve optimal health. By highlighting the benefits of preventing incidence of disease, this book illustrates how biomedicine needs to be repositioned form being the dominant approach in healthcare to being an adjunct to behavioral, legislative, social, and other preventive means for optimizing population health. Heavily evidence-based and thoroughly referenced with hundreds of scientific citations Contains a glossary, as well as valuable tables, illustrations, and information boxes to further explain core content Provides fresh perspectives on issues related to rapid population growth, population aging, rising costs, diminishing resources, health inequality, and more Carefully distils extensive tracts of information, clarifies misunderstandings, and rebuts myths with the ultimate goal of encouraging better understanding of the action needed to promote optimal health for all
Book Synopsis Tangled Loyalties by : Susan P. Shapiro
Download or read book Tangled Loyalties written by Susan P. Shapiro and published by University of Michigan Press. This book was released on 2002 with total page 512 pages. Available in PDF, EPUB and Kindle. Book excerpt: An empirical study of how conflicts of interest arise in the private practice of law and how law firms respond
