Regulating Financial Services and Markets in the 21st Century,9781841132792

Regulating Financial Services and Markets in the 21st Century

by ;
ISBN13: 9781841132792
ISBN10: 1841132799
Format: Hardcover
Pub. Date: 2001-09-11
Publisher(s): Hart Publishing
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Summary

The essays in this work offer a high-level examination of the most important issues facing financial services regulation,and the far-reaching effects of the Financial Services and Markets Act 2000 on the UK financial sector in the context of rapid global change. Taking an interdisciplinary approach the book includes contributions by many distinguished academic authorities on the law and economics of regulation, and also some of the most influential practitioners, regulators and policymakers. As such it provides an authoritative analysis of the underlying issues affecting the broad development of financial services regulation: the objectives of regulation, the responsibilities of the regulated community, the accountability of regulators, the regulation of electronic financial markets and the impact of stock market mergers, regional regulation within Europe, and the development of global financial regulation.

Author Biography

Eilís Ferran is Professor of Company and Securities Law at the University of Cambridge and Pro-Vice-Chancellor for Institutional and International Relations.
Charles A E Goodhart CBE, is Deputy Director of the Financial Markets Group and Norman Sosnow Professor of Banking and Finance at the London School of Economics.
 

Table of Contents

List of Contributors
ix
GENERAL OVERVIEW
Regulating Financial Services and Markets in the Twenty First Century: An Overview
1(16)
Eilis Ferran
Charles A.E. Goodhart
Reforming Financial Regulation: Progress and Priorities
17(8)
Howard Davies
OBJECTIVES AND PRINCIPLES
Regulatory Principles and the Financial Services and Markets Act 2000
25(12)
Colin Mayer
Examining the Objectives of Financial Regulation-Will the New Regime Succeed? A Practitioner's View
37(22)
Amelia C. Fawcett
Incentive v. Rule-Based Financial Regulation: A Role for Market Discipline
59(16)
Rahul Dhumale
REGULATION OF SENIOR MANAGEMENT
Directors' Fiduciary Duties and the Approved Persons Regime
75(14)
Colin Bamforad
Fiduciary Duties, Regulation of Companies and Regulation of Individuals
89(6)
Sir Adam Ridley
DISCIPLINE, ENFORCEMENT AND HUMAN RIGHTS
Regulatory Discipline and the European Convention on Human Rights-A Reality Check
95(20)
Daniel F. Waters
Martyn Hopper
Holding the Balance-Effective Enforcement, Procedural Fairness and Human Rights
115(12)
Thomas A.G. Beazley
ACCOUNTABILITY
Regulating the Regulator-A Lawyer's Perspective on Accountability and Control
127(24)
Alan Page
Regulating the Regulator-An Economist's Perspective on Accountability and Control
151(14)
Charles A.E. Goodhart
Public Accountability in the Financial Sector
165(24)
Rosa M. Lastra
Heba Shams
EUROPEAN REGULATION
Regulating European Markets: The Harmonisation of Securities Regulation in Europe in the New Trading Environment
189(22)
Eddy Wymeersch
The Case for a European Securities Commission
211(24)
Gilles Thieffry
INTERNATIONAL REGULATION
New Issues in International Financial Regulation
235(20)
John Eatwell
The Financial Stability Forum (FSF): Just Another Acronym?
255(18)
Andrew G. Haldane
The Need for Efficient International Financial Regulation and the Role of a Global Supervisor
273(24)
Kern Alexander
ROLE OF RATING AGENCIES
The Role of Rating Agencies in Global Market Regulation
297(14)
Steven L. Schwarcz
The Role of Credit Rating Agencies in the Establishment of Capital Standards for Financial Institutions in a Global Economy
311(12)
Howell E. Jackson
TECHNOLOGICAL CHANGE AND REGULATION
The Challenge of Technology-Regulation of Electronic Financial Markets
323(18)
Securities and Derivatives Markets
323(7)
Gay Wisbey
Nasdaq
330(5)
Mary L. Schapiro
London Stock Exchange
335(6)
David Shrimpton
Index 341

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