Regulating Financial Services and Markets in the 21st CenturyEilís Ferran, Charles Albert Eric Goodhart Hart Publishing, 11.09.2001 - 345 Seiten 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. |
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Inhalt
An Overview | 1 |
Progress and Priorities | 17 |
3 Regulatory Principles and the Financial Services and Markets Act 2000 | 25 |
4 Examining the Objectives of Financial Regulation Will the New Regime Succeed? A Practitioners View | 37 |
A Role for Market Discipline | 59 |
6 Directors Fiduciary Duties and the Approved Persons Regime | 75 |
7 Fiduciary Duties Regulation of Companies and Regulation of Individuals | 89 |
8 Regulatory Discipline and the European Convention on Human Rights A Reality Check | 95 |
12 Public Accountability in the Financial Sector | 165 |
The Harmonisation of Securities Regulation in Europe in the New Trading Environment | 189 |
14 The Case for a European Securities Commission ESC | 211 |
15 New Issues in International Financial Regulation | 235 |
Just Another Acronym? | 255 |
17 The Need for Efficient International Financial Regulation and the Role of a Global Supervisor | 273 |
18 The Role of Rating Agencies in Global Market Regulation | 297 |
19 The Role of Credit Rating Agencies in the Establishment of Capital Standards for Financial Institutions in a Global Economy | 311 |
9 Holding the Balance Effective Enforcement Procedural Fairness and Human Rights | 115 |
10 Regulating the Regulator A Lawyers Perspective on Accountability and Control | 127 |
11 Regulating the Regulator An Economists Perspective on Accountability and Control | 151 |
20 The Challenge of Technology Regulation of Electronic Financial Markets | 323 |
341 | |
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Regulating Financial Services and Markets in the 21st Century Eilís Ferran,Charles Goodhart CBE Eingeschränkte Leseprobe - 2001 |
Regulating Financial Services and Markets in the 21st Century Eilís Ferran,Charles Albert Eric Goodhart Keine Leseprobe verfügbar - 2001 |
Häufige Begriffe und Wortgruppen
accountability action activities apply approach approved persons assess authorised Bank of England Basel Capital Accord Basel Committee capital adequacy capital requirements central bank codes Committee’s company law competition conduct consumers countries Court credit rating credit rating agencies criminal decisions directors disciplinary disclosure ECHR economic effective EHRR enforcement ensure Euronext European example financial institutions financial markets financial regulation Financial Services Financial Services Authority financial system firms framework FSA’s FSMA functions global supervisor harmonisation HM Treasury Ibid imposed incentives industry international financial investment investors issuers issues jurisdiction London London Stock Exchange market abuse market participants monitor Nasdaq NRSRO objectives obligations organisations potential powers practice principles procedures proposed protection rating agencies regime regu regulatory Report response role rules sector Services and Markets soft law standards statutory Stock Exchange structure systemic risk tion trading transparency Treasury