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SREP exercise and resolution planning outcomes as inside information under MAR
Sciarrone Alibrandi, Antonella; Malvagna, Ugo - 2020
both Basel's Pillar 3 and (in case of listed banks) the Market Abuse Regulation. Especially in the latter context, it is …
Persistent link: https://www.econbiz.de/10012427914
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New Zealand’s Financial Adviser Regulation – Falling Behind in the Wake of Overseas Reforms
Stace, Victoria - 2016
This article looks at New Zealand's conduct of business rules for financial advisers. It compares New Zealand's rules to conduct of business rules applicable in the United Kingdom and Australia. There are major respects in which New Zealand's conduct of business rules fall behind best practice,...
Persistent link: https://www.econbiz.de/10012999354
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Implementing Regulatory Harmonization at the SEC
Laby, Arthur B. - 2017
gaps or deficiencies in the regulation of broker-dealers and investment advisers. These firms often perform similar …, prepared as part of a collection of papers on a fiduciary duty for broker-dealers, analyzes the requirement for the study, the …
Persistent link: https://www.econbiz.de/10012949826
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Regulating the Crypto World - New Developments from France
Barsan, Iris M. - 2020
Persistent link: https://www.econbiz.de/10012846860
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Regulatory Intensity and Firm-Specific Exposure
Kalmenovitz, Joseph - 2020
irreversible investment opportunities. The results shed new light on the heterogeneous economic impact of regulation and on its …
Persistent link: https://www.econbiz.de/10012847800
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The SEC and Regulation of Exchange-Traded Funds : A Commendable Start and a Welcome Invitation
Hu, Henry T. C. - 2019
Persistent link: https://www.econbiz.de/10012863913
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The Uncertain Role of Banks’ Corporate Governance in Systemic Risk Regulation
Mülbert, Peter O.; Citlau, Ryan D. - 2011
-level sources of risk are much easier for corporate governance and regulation to address than risk arising at the systemic level … limited role in the regulation of systemic risk and then relates this discussion to the current state of affairs in the …
Persistent link: https://www.econbiz.de/10014180082
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Complaints Handling by the Regulators of Insolvency Practitioners : A Comparative Study
Seneviratne, Mary; Walters, Adrian - 2012
comparators, many of the insolvency regulators focus principally on the regulation and disciplining of insolvency practitioners …
Persistent link: https://www.econbiz.de/10014212390
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Competition Regulation in Ecuador
Marin-Tobar, Luis - 2015
regulation may provide substantial benefits for developing countries, which can refer to the tools, successes, and failures in …
Persistent link: https://www.econbiz.de/10014151329
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The Regulation of AI Trading from an AI Life Cycle Perspective
Azzutti, Alessio; Ringe, Wolf-Georg; Stiehl, Hans Siegfried - 2022
regulators are faced today with the daunting task of how best to approach its regulation in order to foster innovation and … in automated trading. Rather, any effective and future-proof AI-targeting regulation should be proportionate to the …
Persistent link: https://www.econbiz.de/10014238860