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"Chiu, Iris H.-Y., author"
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The foundations and future of financial regulation : governance for responsibility
\"Financial regulation has entered into a new era, as many foundational economic theories and policies supporting the existing infrastructure have been questioned following the financial crisis. This book offers a timely exploration of financial regulation in the aftermath of the crisis in order to map out the future trajectory of regulation in an age where financial stability is being emphasised as a key regulatory objective. The book is split into four sections: the objectives and regulatory landscape of financial regulation; the regulatory regime for investor protection; the regulatory regime for financial institutional safety and soundness; and macro-prudential supervision. The analysis ranges from theoretical and policy perspectives to comprehensive and critical consideration of financial regulation in the specifics. The book focuses on the substantive regulation of the UK and the EU, within a global context, making comparisons where relevant with the US. Running through the book is the consideration of the relationship between financial regulation, financial stability, institutional structures in the UK, EU and US, and the responsibility of various actors in governance. This book offers an important contribution to the critical analysis of the role of financial regulation, market discipline and corporate responsibility in the financial sector, and on the roles of regulatory authorities. It will be of interest to academics and students of banking and finance law and comparative economics\"-- Provided by publisher.
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Regulating (From) the Inside
This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gatekeeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control.
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