gaps or deficiencies in the regulation of broker-dealers and investment advisers. These firms often perform similar …

European Commission's Draft Proposal to amend the EU-Rating Regulation, could possibly be eliminated by procedural presumptions …

nonprime mortgage sector. Effective regulation is essential to prevent and contain such epidemics. An epidemic is the natural … a “criminogenic environment.” Factors that make an environment criminogenic include non-regulation, assets that lack …) both spread disease and weaken the host, making him more susceptible to other infections.Effective regulation is essential …

in regulation. This article explores the deployment of technology to embed regulatory objectives within the management … financial regulation. This perspective is developed by reviewing current debate on the use of technology and its application to … a range of challenges in financial regulation and supervision …

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 …

governance and risk regulation in China from a comparative perspective. It surveys corporate governance tools that have been … enterprise, focusing on China’s regulation of internal controls and risk management systems. These internal mechanisms are …

This monograph provides an overview of the theories of disclosure regulation and recent developments in the disclosure … regulation literature. We organize our discussion around three basic questions. First, why do we need to regulate corporate … disclosure in the financial market? Second, which theories explain the current state of disclosure regulation? Third, what are …