Regulating Financial Services and Markets in the 21st Century

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Eilís 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
Index
341
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