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Author : Richard C. Owens,Task Force on the Future of the Canadian Financial Services Sector
Publisher : Task Force
Page : 181 pages
File Size : 43,9 Mb
Release : 1998-01-01
Category : Data protection
ISBN : 0662271505
Author : John A. Tatom
Publisher : Springer Science & Business Media
Page : 243 pages
File Size : 46,5 Mb
Release : 2011-01-11
Category : Business & Economics
ISBN : 9781441966377
What role should regulation play in financial markets? What have been the ramifications of financial regulation? To answer these and other questions regarding the efficacy of legislation on financial markets, this book examines the impact of the Gramm Leach Bliley Act (GLBA), also called the Financial Modernization Act of 1999, which fundamentally changed the financial landscape in the United States. The GLBA allows the formation of financial holding companies that can offer an integrated set of commercial banking, securities and insurance products. The tenth anniversary of the most sweeping financial legislation reform in the industry’s structure is a natural benchmark for assessing the effects of the law and for questioning whether changes are necessary in the working of this historic legislation. The importance of this review is reinforced by a variety of proposals in the last several years to reform the regulation of financial institutions that have attracted considerable attention among regulators and in the financial firms that they regulate. Most recently, the financial crisis and the failure of some large financial institutions have called into question the legitimacy of America’s current financial structure and its regulation, including to some degree the GLBA. There is no doubt that regulatory reform is front and center on today’s policy agenda. The lessons of the GLBA experience and its effects, both domestic and international, on financial markets and competitiveness, risk-taking and risk management by financial services firms and their regulators will be critical to the direction the country takes and the effort to ensure that future financial crises do not occur or have less costly damage. With contributions from academics, policy experts, and a sponsor of the GLBA, Congressman James Leach, this book is invaluable to anyone interested in financial system reform.
Author : Graham Roberts,Institute of Financial Services
Publisher : Unknown
Page : 368 pages
File Size : 54,5 Mb
Release : 2009-03-01
Category : Banking law
ISBN : 0852977794
This well established and best selling guide to the law retains its unique focus on the law as it relates to corporate and retail financial services, cutting to the essential core of the legal and non-legal rules. The new edition covers the new banking code, the business banking code and the BBA statements of principles. Full commentary is provided on each.
Author : United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on International Development, Finance, Trade, and Monetary Policy
Publisher : Unknown
Page : 298 pages
File Size : 50,9 Mb
Release : 1992
Category : Business & Economics
ISBN : STANFORD:36105061899675
Author : Ashurst Morris Crisp (Firm)
Publisher : Unknown
Page : 488 pages
File Size : 50,6 Mb
Release : 2001
Category : Business & Economics
ISBN : STANFORD:36105060993362
Provides the reader with an overview of the Financial Services and Markets Act and the principal statutory instruments made under it. The text places the statutory provisions in their practical context, providing commentary, and an overview of the law and its consequences. The work also summarizes the relevant changes in the regulatory regime, and highlights the powers of the FSA.
Author : Annie Mills,Peter Haines
Publisher : John Wiley & Sons
Page : 400 pages
File Size : 46,8 Mb
Release : 2015-10-08
Category : Business & Economics
ISBN : 9781118906194
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.
Author : Australian Law Reform Commission
Publisher : Unknown
Page : 0 pages
File Size : 47,6 Mb
Release : 2023-06-22
Category : Electronic
ISBN : 064535015X
Author : Egan
Publisher : Unknown
Page : 128 pages
File Size : 55,5 Mb
Release : 1996-06
Category : Law
ISBN : 0471964662
Author : Kenneth Kaoma Mwenda
Publisher : World Bank Publications
Page : 182 pages
File Size : 45,9 Mb
Release : 2006-01-01
Category : Business & Economics
ISBN : 9780821364604
That different types of financial services and products continue to spring up in the financial sector of many countries is indicative of the changing landscape of the financial services industry globally. Equally important, as indicators of the evolving trajectory of financial services regulation, are increases in the number of countries where universal banking is practiced and in numbers of parent and subsidiary companies providing different types of financial services and products. This book is written against that background. A central thesis pursued in the book is that until there is a longer track record of experience with unified regulators, it is difficult to come to firm conclusions about the restructuring process of regulators, and the optimal internal structure of such agencies. In addition, the book examines the concept of an independent regulator, showing how this concept, as a corollary to the concept of a unified regulator, could strengthen the regulatory and institutional framework for financial services supervision if accountability were to be part of such a framework.
Author : William Blair
Publisher : Butterworth-Heinemann
Page : 440 pages
File Size : 43,9 Mb
Release : 1993
Category : Law
ISBN : STANFORD:36105060072878
Author : John A. Tatom
Publisher : Springer
Page : 240 pages
File Size : 52,6 Mb
Release : 2011-04-07
Category : Business & Economics
ISBN : 1441966382
What role should regulation play in financial markets? What have been the ramifications of financial regulation? To answer these and other questions regarding the efficacy of legislation on financial markets, this book examines the impact of the Gramm Leach Bliley Act (GLBA), also called the Financial Modernization Act of 1999, which fundamentally changed the financial landscape in the United States. The GLBA allows the formation of financial holding companies that can offer an integrated set of commercial banking, securities and insurance products. The tenth anniversary of the most sweeping financial legislation reform in the industry’s structure is a natural benchmark for assessing the effects of the law and for questioning whether changes are necessary in the working of this historic legislation. The importance of this review is reinforced by a variety of proposals in the last several years to reform the regulation of financial institutions that have attracted considerable attention among regulators and in the financial firms that they regulate. Most recently, the financial crisis and the failure of some large financial institutions have called into question the legitimacy of America’s current financial structure and its regulation, including to some degree the GLBA. There is no doubt that regulatory reform is front and center on today’s policy agenda. The lessons of the GLBA experience and its effects, both domestic and international, on financial markets and competitiveness, risk-taking and risk management by financial services firms and their regulators will be critical to the direction the country takes and the effort to ensure that future financial crises do not occur or have less costly damage. With contributions from academics, policy experts, and a sponsor of the GLBA, Congressman James Leach, this book is invaluable to anyone interested in financial system reform.
Author : Edwin H. Neave,C.D. Howe Institute,Frank Milne
Publisher : Unknown
Page : 44 pages
File Size : 53,9 Mb
Release : 1998
Category : Banking law
ISBN : PSU:000033348506
This paper applies a theory of financial system function and organization to an analysis of possible regulatory reforms to Canada's system of financial regulation. It begins with an overview of the financial system in Canada today, including its changing environment and the pressures for regulatory change. An economic theory of financial activity is then outlined, touching on the system's functions and market structures, the governance of different types of financial transactions, the economics of change, the determinants of financial firms' organizational structures, and some of the trade-offs involved in regulation. The theory is used in assessing proposed regulatory changes, taking into account their objectives, the treatment of similar functions, ownership and structural rules, prudential concerns, and improvements in the release of information. A list of recommendations closes the paper.
Author : Finbarr Murphy,Caroline Bergin-Cross
Publisher : Unknown
Page : 1652 pages
File Size : 54,6 Mb
Release : 2018
Category : Banking law
ISBN : 0414052498
Author : John A. Consiglio
Publisher : Emerald Group Publishing
Page : 115 pages
File Size : 49,8 Mb
Release : 2020-06-10
Category : Business & Economics
ISBN : 9781839820687
The debates around financial services regulation are fierce and unending, and with every new development or law, rigid positions seem to grow. In this insightful new book, expert author John A. Consiglio discusses developments in this vital part of the wide world of finance.
Author : Paul Latimer,Philipp Maume
Publisher : Springer
Page : 251 pages
File Size : 53,5 Mb
Release : 2014-11-14
Category : Law
ISBN : 9783319094595
This book provides a unique comparative and global analysis of the regulation of disclosure in financial (securities) markets. It is written by two authors who represent both the new world (Australia) and the old world (Germany). The authors present their research in the global business context, with legal and regulatory perspectives including some references from Africa, Asia, the Middle East and South America. After every “boom” and “bust”, legislators pass new disclosure legislation, often in a heated environment fuelled by politics and the media. Little regard is paid to existing regulation or the lessons learned from earlier regulation. The result is the continuing enactment of redundant and overlapping disclosure laws. Since financial markets are often described as markets for information, the failure to ensure disclosure is at the heart of financial services regulation. This book argues that the solution to the failure of disclosure is a brief, easily understood, principles-based, plain English safety-net amendment to statute law such as “you must keep the financial market fully informed”, a measure that would support effective mandatory continuous disclosure of information to financial markets. This book examines the reasons for disclosure regulation, and how the efficient operation of financial markets is dependent on disclosure. It examines the adequacy of common law and civil law concerning broker/client disclosure, and concludes that industry licensing in itself fails to keep the market informed. While recognizing the failures of securities commissions to achieve good disclosure in financial markets, it confirms the effectiveness of coregulation of disclosure by a commission with the support of the financial markets (such as the stock exchange). Coregulation builds on financial market self-regulation, and is best described in the words of one-time SEC Chairman William O. Douglas, who, in the 1930s, described it as a shotgun behind the door.
