Legal Aspects of Financial Services Regulation and the Concept of a Unified Regulator

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Author :
Publisher : World Bank Publications
ISBN 13 : 082136460X
Total Pages : 182 pages
Book Rating : 4.8/5 (213 download)

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Book Synopsis Legal Aspects of Financial Services Regulation and the Concept of a Unified Regulator by : Kenneth Kaoma Mwenda

Download or read book Legal Aspects of Financial Services Regulation and the Concept of a Unified Regulator written by Kenneth Kaoma Mwenda and published by World Bank Publications. This book was released on 2006-01-01 with total page 182 pages. Available in PDF, EPUB and Kindle. Book excerpt: That different types of financial services and products continue to spring up in the financial sector of many countries is indicative of the changing landscape of the financial services industry globally. Equally important, as indicators of the evolving trajectory of financial services regulation, are increases in the number of countries where universal banking is practiced and in numbers of parent and subsidiary companies providing different types of financial services and products. This book is written against that background. A central thesis pursued in the book is that until there is a longer track record of experience with unified regulators, it is difficult to come to firm conclusions about the restructuring process of regulators, and the optimal internal structure of such agencies. In addition, the book examines the concept of an independent regulator, showing how this concept, as a corollary to the concept of a unified regulator, could strengthen the regulatory and institutional framework for financial services supervision if accountability were to be part of such a framework.

Legal Aspects of Combating Corruption: The Case of Zambia

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Author :
Publisher : Cambria Press
ISBN 13 : 1621968855
Total Pages : 330 pages
Book Rating : 4.6/5 (219 download)

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Book Synopsis Legal Aspects of Combating Corruption: The Case of Zambia by :

Download or read book Legal Aspects of Combating Corruption: The Case of Zambia written by and published by Cambria Press. This book was released on with total page 330 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Financial Regulation and Technology

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Author :
Publisher : Edward Elgar Publishing
ISBN 13 : 1802205411
Total Pages : 384 pages
Book Rating : 4.8/5 (22 download)

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Book Synopsis Financial Regulation and Technology by : Sheridan, Iain

Download or read book Financial Regulation and Technology written by Sheridan, Iain and published by Edward Elgar Publishing. This book was released on 2022-02-15 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt: This important book analyses recurring issues within financial services regulation relevant to the use of technology, at a time when competition is moving towards greater use of technology in the financial services sector. Iain Sheridan assumes no advanced knowledge of computers and related technology topics, but where necessary encapsulates the essential aspects to offer a comprehensive yet accessible guide to the regulation of finance and technology.

Implementing Financial Regulation

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Publisher : John Wiley & Sons
ISBN 13 : 0470869305
Total Pages : 286 pages
Book Rating : 4.4/5 (78 download)

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Book Synopsis Implementing Financial Regulation by : Joanna Gray

Download or read book Implementing Financial Regulation written by Joanna Gray and published by John Wiley & Sons. This book was released on 2006-05-01 with total page 286 pages. Available in PDF, EPUB and Kindle. Book excerpt: Now that the Financial Services and Markets Act 2000 has had a chance to bed itself down and the Financial Services Authority (FSA) is developing its new regulatory toolkit and modus operandi, financial regulation has moved on in interesting directions. This book takes a critical look at the principles and practices behind this regulation, as well as the theory that is involved. This book goes further than a description of the laws that are currently out there, by analysing the impact and implications of the new financial regulations, making it a ’must-read’ for law, finance and accounting practitioners. Coverage includes: Regulation and compliance; disclosure risk and regulation and stakeholders in financial regulation.

Financial Regulation at the Crossroads

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Publisher : Kluwer Law International B.V.
ISBN 13 : 9041137645
Total Pages : 424 pages
Book Rating : 4.0/5 (411 download)

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Book Synopsis Financial Regulation at the Crossroads by : Panagiotis Delimatsis

Download or read book Financial Regulation at the Crossroads written by Panagiotis Delimatsis and published by Kluwer Law International B.V.. This book was released on 2011-04-01 with total page 424 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book brings outstanding expertise and provides insightful perspectives from nineteen authors with diverse backgrounds, including officials from international organizations, national regulators, and commercial banking, as well as academics in law, economics, political economy, and finance. The authors not only shed light on the causes of the financial turmoil, but also present thoughtful proposals that contribute to the future policy debate, and discuss opportunities that financial services can offer in funding activities which raise standards of living through initiatives in microfinance, renewable energy, and food distribution. The contributions to this volume tackle several of the thorniest issues of financial regulation in a post-crisis environment, such as: the mechanics of contagion within the financial system and the role of liquidity; moral hazard when large financial institutions are no longer subject to the disciplinary effects of bankruptcy; bank capital requirements; management compensation; design of bank resolution schemes; a function-centric versus institution-centric regulatory approach; subsidization and compatibility of stimulus packages with EU rules on state aid; trade finance and the role of the GATS prudential carve-out; and the role of financial services in promoting human rights or combating climate change.

Regulating Financial Services and Markets in the 21st Century

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Publisher : Hart Publishing
ISBN 13 : 1841132799
Total Pages : 357 pages
Book Rating : 4.8/5 (411 download)

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Book Synopsis Regulating Financial Services and Markets in the 21st Century by : Eilís Ferran

Download or read book Regulating Financial Services and Markets in the 21st Century written by Eilís Ferran and published by Hart Publishing. This book was released on 2001-09-11 with total page 357 pages. Available in PDF, EPUB and Kindle. Book excerpt: The essays in this work offer a high-level examination of the most important issues facing financial services regulation,and the far-reaching effects of the Financial Services and Markets Act 2000 on the UK financial sector in the context of rapid global change. Taking an interdisciplinary approach the book includes contributions by many distinguished academic authorities on the law and economics of regulation, and also some of the most influential practitioners, regulators and policymakers. As such it provides an authoritative analysis of the underlying issues affecting the broad development of financial services regulation: the objectives of regulation, the responsibilities of the regulated community, the accountability of regulators, the regulation of electronic financial markets and the impact of stock market mergers, regional regulation within Europe, and the development of global financial regulation.

Principles of Financial Regulation

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Publisher : Oxford University Press
ISBN 13 : 0191090042
Total Pages : 698 pages
Book Rating : 4.1/5 (91 download)

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Book Synopsis Principles of Financial Regulation by : John Armour

Download or read book Principles of Financial Regulation written by John Armour and published by Oxford University Press. This book was released on 2016-07-21 with total page 698 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial crisis of 2007-9 revealed serious failings in the regulation of financial institutions and markets, and prompted a fundamental reconsideration of the design of financial regulation. As the financial system has become ever-more complex and interconnected, the pace of evolution continues to accelerate. It is now clear that regulation must focus on the financial system as a whole, but this poses significant challenges for regulators. Principles of Financial Regulation describes how to address those challenges. Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of regulation by drawing on economics, finance, and law methodologies. The volume examines regulation in a purposive and dynamic way by framing the book in terms of what the financial system does, rather than what financial regulation is. By analysing specific regulatory measures, the book provides readers to the opportunity to assess regulatory choices on specific policy issues and encourages critical reflection on the design of regulation.

The Legal Administration of Financial Services in Common Law Jurisdictions

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Author :
Publisher :
ISBN 13 :
Total Pages : 192 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis The Legal Administration of Financial Services in Common Law Jurisdictions by : Kenneth Kaoma Mwenda

Download or read book The Legal Administration of Financial Services in Common Law Jurisdictions written by Kenneth Kaoma Mwenda and published by . This book was released on 2006 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides fresh and original contributions to the debate on unified financial services supervision, highlighting different models of unified regulators in several countries. There is a dearth of literature for lawyers and law reform institutions on how to structure, or what to consider when setting up, a unified financial services regulator. While economists have been quick to put pen to paper on collateral and substantive issues relating to unified financial supervision, not much has been written by legal scholars.

Institutional Structure of Financial Regulation

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Author :
Publisher : Routledge
ISBN 13 : 131791063X
Total Pages : 284 pages
Book Rating : 4.3/5 (179 download)

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Book Synopsis Institutional Structure of Financial Regulation by : Robin Hui Huang

Download or read book Institutional Structure of Financial Regulation written by Robin Hui Huang and published by Routledge. This book was released on 2014-06-20 with total page 284 pages. Available in PDF, EPUB and Kindle. Book excerpt: In light of on-going global financial crises, the institutional structure of financial regulation is currently a subject of significant academic and practical interest. The financial crisis has called into question the adequacy of financial regulation at the national and supranational levels, and has instigated financial regulatory reforms in major markets overseas. This has included the enactment of the Dodd-Frank Act in the US, and the programme to split the Financial Services Authority in the UK. This book examines the institutional structure reform of financial regulation from a comparative perspective, exploring both fundamental theories and international experiences. The book explores the three main institutional structures of financial regulation in the world; the sectors-based model, adopted in the US, Mainland China and Hong Kong; the twin-peaks model with Australia and the Netherlands as its pioneers; and the single-regulator model as represented by the former Financial Services Authority in the UK and the Financial Services Agency in Japan. The book contains contributions from renowned experts in the field of financial regulation including Douglas Arner, Jeffrey Carmichael, Robin Hui Huang, Dirk Schoenmaker, and Michael Taylor, and will be of interest to students and researchers of banking and finance law, and comparative economics.

Special Report

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Publisher : LexisNexis
ISBN 13 : 9781405749176
Total Pages : 195 pages
Book Rating : 4.7/5 (491 download)

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Book Synopsis Special Report by : Richard Lissack

Download or read book Special Report written by Richard Lissack and published by LexisNexis. This book was released on 2010 with total page 195 pages. Available in PDF, EPUB and Kindle. Book excerpt: In recent years, Islamic business has grown in size and importance in the world financial markets, propelled by government and private wealth in Muslim countries. The UK has fashioned itself as a leading supporter of Islamic finance, evinced in its position as an “emerging global ‘hub’ for Islamic finance” (Islamic Finance in the UK: Regulation and Challenges (Financial Services Authority, 2007) This work examines how laws and regulations in the UK and abroad are applied to Shari’a products and services. It offers cutting-edge guidance from a leading practitioner: it includes explanation of terms and definitions and looks the legal nature of the Shari’a, in addition to a crucial review of how Islamic financial business is regulated and its practical application within the UK.The report also covers the following key areas:* An introduction to the basics of Islamic law unfamiliar to most UK practitioners – e.g. what is Islamic law, what are the key principles, what are the products on offer* Islamic financial institutions – e.g. different types and requirements* Discussion of the legal nature of the Shari’a – the basis, concepts and context of applying Shari’a law* How is Islamic financial business regulated in the UK – e.g. how does it work with the Financial Services and Markets Act 2000 (this act being fundamental to how the financial services industry is structured and operates), with the Financial Services Authority, how are Islamic mortgages regulated* Best practice guidelines – e.g. key governance principles, Shari’a reviews and audits* International operation – what are the regulatory models, how to incorporate best practice guidelines, oversight of Shari’a supervisory boards* Practical application of Shari’a principles to areas such as guarantees, set-off, assignment of debt* Glossary of terms.

Financial Market Regulation

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Publisher : Springer Science & Business Media
ISBN 13 : 1441966374
Total Pages : 243 pages
Book Rating : 4.4/5 (419 download)

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Book Synopsis Financial Market Regulation by : John A. Tatom

Download or read book Financial Market Regulation written by John A. Tatom and published by Springer Science & Business Media. This book was released on 2011-01-11 with total page 243 pages. Available in PDF, EPUB and Kindle. Book excerpt: What role should regulation play in financial markets? What have been the ramifications of financial regulation? To answer these and other questions regarding the efficacy of legislation on financial markets, this book examines the impact of the Gramm Leach Bliley Act (GLBA), also called the Financial Modernization Act of 1999, which fundamentally changed the financial landscape in the United States. The GLBA allows the formation of financial holding companies that can offer an integrated set of commercial banking, securities and insurance products. The tenth anniversary of the most sweeping financial legislation reform in the industry’s structure is a natural benchmark for assessing the effects of the law and for questioning whether changes are necessary in the working of this historic legislation. The importance of this review is reinforced by a variety of proposals in the last several years to reform the regulation of financial institutions that have attracted considerable attention among regulators and in the financial firms that they regulate. Most recently, the financial crisis and the failure of some large financial institutions have called into question the legitimacy of America’s current financial structure and its regulation, including to some degree the GLBA. There is no doubt that regulatory reform is front and center on today’s policy agenda. The lessons of the GLBA experience and its effects, both domestic and international, on financial markets and competitiveness, risk-taking and risk management by financial services firms and their regulators will be critical to the direction the country takes and the effort to ensure that future financial crises do not occur or have less costly damage. With contributions from academics, policy experts, and a sponsor of the GLBA, Congressman James Leach, this book is invaluable to anyone interested in financial system reform.

Rationale of Regulating the Financial Services, Models of Regulation and Need for Regulatory Independence

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Publisher :
ISBN 13 :
Total Pages : 25 pages
Book Rating : 4.:/5 (13 download)

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Book Synopsis Rationale of Regulating the Financial Services, Models of Regulation and Need for Regulatory Independence by : Sunduzwayo Madise

Download or read book Rationale of Regulating the Financial Services, Models of Regulation and Need for Regulatory Independence written by Sunduzwayo Madise and published by . This book was released on 2014 with total page 25 pages. Available in PDF, EPUB and Kindle. Book excerpt: Theory suggests that the primary role of financial institutions and capital markets is to facilitate the allocation of resources in an uncertain environment across space and time.Therefore regulation of the financial sector has a crucial role to play, especially in the development of third world countries, most of whom have enormous wealth disparities between sections of their populace. A key objective of regulation is to redress information asymmetries that sometimes exist in financial services businesses usually to the disfavour of the consumer. Although most often the regulator is also the supervisor, the role of the regulator and that of the supervisor are. In most jurisdictions however, the powers to regulate and to supervise the activities of the financial services sector reside in the same institution. The regulatory framework of financial services often comprises primary regulation, secondary legislation and guidance and (policy) directives and directions issued by the regulator. This paper looks at the rationale for regulation, the different models of regulation in the financial services and what they are aimed to achieve. The paper also looks at the broad objectives of regulation even in the absence of a unified theory of financial service regulation, such as investor protection, ensuring fairness, reducing contagion, protection against malpractices and maintaining consumer confidence.The paper also analyses the pros and cons of single, twin-peaks and multiple financial regulator and why regulators need to be independent [but accountable] whilst at the same time avoiding industry capture.Although the paper discussed regulation broadly, it discusses financial services regulation in the context of the Malaŵian financial regulatory framework with a brief overview of the regulatory models in the United Kingdom and Zambia.

The Foundations and Future of Financial Regulation

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Publisher : Routledge
ISBN 13 : 113504337X
Total Pages : 556 pages
Book Rating : 4.1/5 (35 download)

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Book Synopsis The Foundations and Future of Financial Regulation by : Mads Andenas

Download or read book The Foundations and Future of Financial Regulation written by Mads Andenas and published by Routledge. This book was released on 2013-11-20 with total page 556 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial regulation has entered into a new era, as many foundational economic theories and policies supporting the existing infrastructure have been and are being questioned following the financial crisis. Goodhart et al’s seminal monograph "Financial Regulation: Why, How and Where Now?" (Routledge:1998) took stock of the extent of financial innovation and the maturity of the financial services industry at that time, and mapped out a new regulatory roadmap. This book offers a timely exploration of the "Why, How and Where Now" of financial regulation in the aftermath of the crisis in order to map out the future trajectory of financial regulation in an age where financial stability is being emphasised as a key regulatory objective. The book is split into four sections: the objectives and regulatory landscape of financial regulation; the regulatory regime for investor protection; the regulatory regime for financial institutional safety and soundness; and macro-prudential regulation. The discussion ranges from theoretical and policy perspectives to comprehensive and critical consideration of financial regulation in the specifics. The focus of the book is on the substantive regulation of the UK and the EU, as critical examination is made of the unravelling and the future of financial regulation with comparative insights offered where relevant especially from the US. Running throughout the book is consideration of the relationship between financial regulation, financial stability and the responsibility of various actors in governance. This book offers an important contribution to continuing reflections on the role of financial regulation, market discipline and corporate responsibility in the financial sector, and upon the roles of regulatory authorities, markets and firms in ensuring the financial health and security of all in the future.

Financial Regulation

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Publisher : Foundation Press
ISBN 13 : 9781640202498
Total Pages : 1412 pages
Book Rating : 4.2/5 (24 download)

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Book Synopsis Financial Regulation by : MICHAEL. JACKSON BARR (HOWELL. TAHYAR, MARGARET.)

Download or read book Financial Regulation written by MICHAEL. JACKSON BARR (HOWELL. TAHYAR, MARGARET.) and published by Foundation Press. This book was released on 2018-08-06 with total page 1412 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial Regulation: Law and Policy (2d Edition) introduces the field of financial regulation in a new and accessible way. Even though a decade has passed since the most systemic financial crisis in the last 70 years and eight years have elapsed since a major shift in regulatory design, the world is still grappling with the aftermath. In addition, technology innovations, including Bitcoin and other cryptocurrencies, market forces and a changing political environment all have combined to reframe and reorient public debate over financial regulation. The book has kept up to date with all of these changes. The book analyzes and compares the market and regulatory architecture of the entire U.S. financial sector as it exists today, from banks, insurance companies, and broker-dealers, to asset managers, complex financial conglomerates, and government-sponsored enterprises. The book explores a range of financial activities, from consumer finance and investment to payment systems, securitization, short-term wholesale funding, money markets, and derivatives. The book examines a range of regulatory techniques, including supervision, enforcement, and rule-writing, as well as crisis-fighting tools such as resolution and the lender of last resort. Throughout the book, the authors note the cross-border implications of U.S. rules, and compare, where appropriate, the U.S. financial regulatory framework and policy choices to those in other places around the globe, especially the European Union.

Financial Services Regulators in Emerging Markets

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Author :
Publisher : Richmond Law & Ted Limited
ISBN 13 : 9781904501466
Total Pages : 622 pages
Book Rating : 4.5/5 (14 download)

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Book Synopsis Financial Services Regulators in Emerging Markets by : Richmond Law & Tax

Download or read book Financial Services Regulators in Emerging Markets written by Richmond Law & Tax and published by Richmond Law & Ted Limited. This book was released on 2005-01-01 with total page 622 pages. Available in PDF, EPUB and Kindle. Book excerpt: Rapid growth in financial services regulation in many countries has led to demand for high quality data about agencies and institutions involved in national and international regulatory systems and explanation of the legal context in which they operate. This major new publication provides detailed, consistently presented information for some 250 institutions. It covers organizations with regulatory responsibilities, whether primary or secondary, for the banking and financial services industry on both national and international levels. Invaluable data provided for each institution include: Scope of Regulation; Legal Basis; Financing; Key Personnel and Organizational Structure; History; Current Regulatory Developments; Regulatory Objectives; Activities and Implementation; Measures to Ensure Compliance; Accountability; Complaints and Redress; Relationships with other Regulatory Bodies; Principal Publications. The information provided for each regulatory body has been reviewed by a leading law firm in each jurisdiction. This data is complemented by a comprehensive explanation of the financial services regulatory framework in each country, provided by the same law firm. These overviews include: description of the nature of the regulatory regime; recent regulatory developments; analysis of the regulatory bodies, their policies, operational activity and relationships; scope of regulatory responsibilities, their application and legal basis; explanation of the international context; future developments expected.

The Oxford Handbook of Financial Regulation

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Author :
Publisher : OUP Oxford
ISBN 13 : 0191510866
Total Pages : 817 pages
Book Rating : 4.1/5 (915 download)

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Book Synopsis The Oxford Handbook of Financial Regulation by : Niamh Moloney

Download or read book The Oxford Handbook of Financial Regulation written by Niamh Moloney and published by OUP Oxford. This book was released on 2015-08-27 with total page 817 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial system and its regulation have undergone exponential growth and dramatic reform over the last thirty years. This period has witnessed major developments in the nature and intensity of financial markets, as well as repeated cycles of regulatory reform and development, often linked to crisis conditions. The recent financial crisis has led to unparalleled interest in financial regulation from policymakers, economists, legal practitioners, and the academic community, and has prompted large-scale regulatory reform. The Oxford Handbook of Financial Regulation is the first comprehensive, authoritative, and state of the art account of the nature of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades. The first three parts of the Handbook address the underpinning horizontal themes which arise in financial regulation: financial systems and regulation; the organization of financial system regulation, including regional examples from the EU and the US; and the delivery of outcomes and regulatory techniques. The final three Parts address the perennial objectives of financial regulation, widely regarded as the anchors of financial regulation internationally: financial stability, market efficiency, integrity, and transparency; and consumer protection. The Oxford Handbook of Financial Regulation is an invaluable resource for scholars and students of financial regulation, economists, policy-makers and regulators.

The fundamental principles of financial regulation

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Author :
Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.:/5 (11 download)

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Book Synopsis The fundamental principles of financial regulation by : Markus Konrad Brunnermeier

Download or read book The fundamental principles of financial regulation written by Markus Konrad Brunnermeier and published by . This book was released on 2009 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: