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Enforcing Financial Markets Law in New Zealand

Maume, Philipp - 2016

the enforcement debate is provided. Taking a cue from the scholarship on responsive regulation and the concept of … approach to regulation …

Persistent link: https://www.econbiz.de/10013006359

Public Enforcement of Securities Market Rules : Resource-Based Evidence from the Securities and Exchange Commission

Lohse, Tim - 2014

We empirically investigate whether increases in the U.S. Securities and Exchange Commission's (SEC) budget have an effect on firms' compliance behavior with securities market rules. Our study uses a dataset on the SEC's resources and its enforcement actions over a period beginning shortly after...

Persistent link: https://www.econbiz.de/10013047632

Discussion of 'The Revolving Door and the SEC's Enforcement Outcomes : Initial Evidence from Civil Litigation' by deHaan, Kedia, Koh, and Rajgopal (2015)

Hayes, Rachel M. - 2015

The study by deHaan et al. (2015) provides an empirical analysis of the effects of revolving door incentives at the SEC. Using a sample of SEC lawyers prosecuting civil cases of accounting misrepresentation, the authors examine how three measures of enforcement outcomes are related to the...

Persistent link: https://www.econbiz.de/10013018495

A tale of two enforcement venues : determinants and consequences of the SEC's choice of enforcement venue after the Dodd-Frank Act

Zheng, Xin - In: The accounting review : a publication of the American … 96 (2021) 6, pp. 451-476

Persistent link: https://www.econbiz.de/10012703058

The Dodd-Frank Act and Basel III : intentions, unintended consequences, and lessons for emerging markets

Acharya, Viral V. - 2012

fundamentally flawed as a way of designing macroprudential regulation of the finance sector. In contrast, the Dodd-Frank Act has … several redeeming features, including requirements of stress-test-based macroprudential regulation and explicit investigation … dynamic sector risk-weight adjustment approach. It concludes with some important lessons for regulation of the finance sector …

Persistent link: https://www.econbiz.de/10009632674

Remaking Culture on Wall Street : A Behavioral Science Approach for Building Trust from the Bottom Up

Engler, Henry - 2018

Since 2008, financial firms have paid, in aggregate, in excess of $320 billion in fines related to misconduct. Nearly ten years later, while many large financial firms have increased their attention to bad behavior and cultural drivers, the degree of commitment and progress in these efforts has...