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The sleeping watch dog: aka the Securities and Exchange Commission
Perri, Frank S.; Brody, Richard G. - In: Journal of Financial Regulation and Compliance 19 (2011) July, pp. 208-221
Securities and Exchange Commission (SEC) that have contributed to a series of regulatory oversights that have produced some of … exposed at the SEC may not account for any one securities fraud oversight, cumulatively, the weaknesses create negative … useful guide to alert and educate securities regulators and enforcement, regardless of the country they may operate in, to …
Persistent link: https://www.econbiz.de/10009391951
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Financial innovation and social welfare
Andrew William (Andy) Mullineux - In: Journal of Financial Regulation and Compliance 18 (2010) July, pp. 243-256
Purpose – The purpose of this paper is to consider the case for regulating financial innovation in light of the recent global financial crisis. Design/methodology/approach – Responsibility for assuring the bank customers are “treated fairly” in the UK currents belongs to the Financial...
Persistent link: https://www.econbiz.de/10009395135
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Tackling cross-border market abuse
Conceicao, Carlos - In: Journal of Financial Regulation and Compliance 14 (2006) February, pp. 29-36
Purpose – This paper aims to explore the key challenges faced by regulators following the implementation of the market abuse directive (MAD) in developing a consistent approach to tackling market abuse. The paper seeks to argue that how regulators respond to these challenges will have a...
Persistent link: https://www.econbiz.de/10004987567
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The impact of the 2004 research analyst rules on hedge fund research reports
Black, Keith H.; Mauldin, John - In: Journal of Financial Regulation and Compliance 14 (2006) May, pp. 185-191
Purpose – Hedge fund marketers frequently distribute written commentary for investors to use in research. Since, these reports are subject to new regulations of the SEC (March 2004), changes need to be made by the hedge fund marketers. This study seeks to examine this issue....
Persistent link: https://www.econbiz.de/10004987592
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Financial supervision in the Republic of Cyprus: the case for reform
Athanassiou, Phoebus - In: Journal of Financial Regulation and Compliance 14 (2006) February, pp. 57-69
Purpose – Aims to examine the current financial scenario in Cyprus and to suggest medium-term reforms to the institutional set-up of Cypriot financial supervision. Design/methodology/approach – Details the different sectors in Cyprus's financial set-up and suggests measures necessary for...
Persistent link: https://www.econbiz.de/10004987619
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The Lamfalussy process four years on
Schaub, Alexander - In: Journal of Financial Regulation and Compliance 13 (2005) May, pp. 110-120
Regulation of European Securities Markets, chaired by Alexandre Lamfalussy. Four years on, this paper concludes that, while it is … legislation affecting securities markets is now more transparent, with better involvement of external stakeholders and enhanced …
Persistent link: https://www.econbiz.de/10004987623
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Strategies and benefits of developing a market for government securities
Lucio, Juan Fernando - In: Journal of Financial Regulation and Compliance 14 (2006) February, pp. 47-56
Purpose – The purpose of this essay is to formulate practical steps in establishing a market for government securities … government securities can be created out of sound decisions that stimulate participation by various financial institutions. The … intended for public officials in emerging economies who are developing local markets for government securities, since it is …
Persistent link: https://www.econbiz.de/10004987643
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Estimating defaults in organized security lending markets
Osken, Latif Cem; Onay, Ceylan; Unal, Gözde - In: Journal of Financial Regulation and Compliance 24 (2016) 3, pp. 343-362
lending contracts of Securities Lending and Borrowing Market between 2010 and 2012 and the data provided by Borsa Istanbul on …
Persistent link: https://www.econbiz.de/10014870769
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The Lamfalussy process four years on
Schaub, Alexander - In: Journal of Financial Regulation and Compliance 13 (2005) 2, pp. 110-120
Regulation of European Securities Markets, chaired by Alexandre Lamfalussy. Four years on, this paper concludes that, while it is … legislation affecting securities markets is now more transparent, with better involvement of external stakeholders and enhanced …
Persistent link: https://www.econbiz.de/10014869987
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Tackling cross‐border market abuse
Conceicao, Carlos - In: Journal of Financial Regulation and Compliance 14 (2006) 1, pp. 29-36
Purpose – This paper aims to explore the key challenges faced by regulators following the implementation of the market abuse directive (MAD) in developing a consistent approach to tackling market abuse. The paper seeks to argue that how regulators respond to these challenges will have a...
Persistent link: https://www.econbiz.de/10014870011