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implementing regulation two key procedural mechanisms: (1) a requirement of automatic subsequent review and reconsideration of the …
Persistent link: https://www.econbiz.de/10013113238
.This Article explores these developments and the failure of risk regulation to address them. While regulators have lauded the turn …
Persistent link: https://www.econbiz.de/10013070809
This is a summarized and abridged version of some of the arguments made in the report “OpenTradeCloud: Regulating the Next Generation of the National Market System” [Summary Report], that is part of my doctorate research at Columbia Law School. It is still very rough and preliminary, and it...
Persistent link: https://www.econbiz.de/10013038883
Financial regulation today is largely framed by traditional business categories. The financial markets, however, have … problems addressed by (but now beyond the reach of) current regulation, and the rise of new problems that reflect change in how … financial regulation, in light of recent changes in the financial system, and offer a tentative way forward to address gaps in …
Persistent link: https://www.econbiz.de/10013151563
regimes laying down the foundations of a new global framework for the regulation of short sales …
Persistent link: https://www.econbiz.de/10013152630
are under way in Canada, Europe and the United States to address the concerns raised by credit rating agencies' activities …
Persistent link: https://www.econbiz.de/10013156993
The European Commission's Proposal for a Regulation on European Crowdfunding Service Providers (ECSPs) for businesses … December 2019 but the Regulation is still waiting for its formal adoption. The present paper, after briefly describing … crowdfunding main features, will critically and analytically analyze the main aspects of the proposed ECSPs Regulation, with …
Persistent link: https://www.econbiz.de/10012834863
Drawing on financial reporting, institutional, and social psychology theories, we consider whether awareness of SEC scrutiny affects the extent to which managers exercise financial reporting discretion. Because there is a higher probability that the SEC will detect misconduct and impose...
Persistent link: https://www.econbiz.de/10012844687
Inadequate regulation of the financial system is widely thought to have contributed to the financial crisis. The … purpose of the book is to articulate a framework within which financial regulation can be analysed in a coherent and … regulation is best understood in the context of an appreciation of the entire financial system. Third it is international and …
Persistent link: https://www.econbiz.de/10012937668
relationships adequately in the regulatory framework. This paper analyzes the German regulation of crowdinvesting and finds that it …
Persistent link: https://www.econbiz.de/10012946137