Regulating Financial Services and Markets in the 21st Century. (Record no. 38617)
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| fixed length control field | 09152nam a22004933i 4500 |
| 001 - CONTROL NUMBER | |
| control field | EBC1750718 |
| 003 - CONTROL NUMBER IDENTIFIER | |
| control field | MiAaPQ |
| 005 - DATE AND TIME OF LATEST TRANSACTION | |
| control field | 20240729122928.0 |
| 006 - FIXED-LENGTH DATA ELEMENTS--ADDITIONAL MATERIAL CHARACTERISTICS | |
| fixed length control field | m o d | |
| 007 - PHYSICAL DESCRIPTION FIXED FIELD--GENERAL INFORMATION | |
| fixed length control field | cr cnu|||||||| |
| 008 - FIXED-LENGTH DATA ELEMENTS--GENERAL INFORMATION | |
| fixed length control field | 240724s2001 xx o ||||0 eng d |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| International Standard Book Number | 9781847311696 |
| Qualifying information | (electronic bk.) |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| Canceled/invalid ISBN | 9781841132792 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (MiAaPQ)EBC1750718 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (Au-PeEL)EBL1750718 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (CaPaEBR)ebr10276126 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (CaONFJC)MIL80060 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (OCoLC)893331313 |
| 040 ## - CATALOGING SOURCE | |
| Original cataloging agency | MiAaPQ |
| Language of cataloging | eng |
| Description conventions | rda |
| -- | pn |
| Transcribing agency | MiAaPQ |
| Modifying agency | MiAaPQ |
| 050 #4 - LIBRARY OF CONGRESS CALL NUMBER | |
| Classification number | KD1715.R43 2001 |
| 082 0# - DEWEY DECIMAL CLASSIFICATION NUMBER | |
| Classification number | 346.41/082 |
| 100 1# - MAIN ENTRY--PERSONAL NAME | |
| Personal name | Ferran, Eilís. |
| 245 10 - TITLE STATEMENT | |
| Title | Regulating Financial Services and Markets in the 21st Century. |
| 250 ## - EDITION STATEMENT | |
| Edition statement | 1st ed. |
| 264 #1 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE | |
| Place of production, publication, distribution, manufacture | London : |
| Name of producer, publisher, distributor, manufacturer | Bloomsbury Publishing Plc, |
| Date of production, publication, distribution, manufacture, or copyright notice | 2001. |
| 264 #4 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE | |
| Date of production, publication, distribution, manufacture, or copyright notice | ©2001. |
| 300 ## - PHYSICAL DESCRIPTION | |
| Extent | 1 online resource (356 pages) |
| 336 ## - CONTENT TYPE | |
| Content type term | text |
| Content type code | txt |
| Source | rdacontent |
| 337 ## - MEDIA TYPE | |
| Media type term | computer |
| Media type code | c |
| Source | rdamedia |
| 338 ## - CARRIER TYPE | |
| Carrier type term | online resource |
| Carrier type code | cr |
| Source | rdacarrier |
| 505 0# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | Half Title Page -- Half Title verso -- Title Page -- Title verso -- Preface -- Contents -- List of Contributors -- 1. Regulating Financial Services and Markets in the Twenty First Century: An Overview -- The Dawn of a New Era in UK Regulation of Financial Services and Markets -- Global Business, Global Regulation? -- Markets Without Frontiers - The Regulatory Response to Technological Developments -- The Enactment of the Financial Services and Markets Act 2000: The End of Self-Regulation -- Examining the FSMA Regulatory Objectives and Regulatory Principles -- The Regulation of Approved Persons -- Discipline and Enforcement -- Accountability -- European Securities Regulation -- International Financial Regulation - The Role of Rating Agencies -- 2. Reforming Financial Regulation: Progress and Priorities -- The Legislative Process -- The Dogs that did not Bark -- Accountability -- Where do we go from here? -- 3. Regulatory Principles and the Financial Services and Markets Act 2000 -- Introduction -- Bank Regulation -- Non-Bank Domestic Regulation -- International Aspects of Regulation -- The Real Impact of Financial Systems -- Conclusions -- 4. Examining the Objectives of Financial Regulation - Will the New Regime Succeed? A Practitioner's View -- What will the Markets and Industry Look Like? -- Will the New Regime Succeed? -- Conclusion -- 5. Incentive v. Rule-Based Financial Regulation: A Role for Market Discipline -- Do Incentives Work? -- An Incentive Structure for Financial Regulations -- The Pros and Cons of Incentive v. Rule-Based Regulation -- The Road Ahead... -- 6. Directors' Fiduciary Duties and the Approved Persons Regime -- The Approved Persons Regime -- The Law of Directors' Duties -- Corporate Governance -- The Relationship Between the Approved Persons Regime and Company Law. |
| 505 8# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | 7. Fiduciary Duties, Regulation of Companies and Regulation of Individuals -- Introduction -- Do the FSA's Proposals Meet the Canons of Good Regulation? -- Are Requirements on Firms and Individuals Consistent? -- The FSA's Case Against Safe Harbours: A Logical Howler -- Conclusion -- 8. Regulatory Discipline and the European Convention on Human Rights - A Reality Check -- Introduction -- The New Regulatory Regime for Financial Services in the UK -- Broad Scheme of FSMA -- FSA's Approach to Regulation -- The Role of Discipline -- Regulatory Discipline and Criminal Law in the UK -- Regulatory Discipline and Article 6 of the ECHR -- Guidance from Other Jurisdictions -- Article 6 and the Market Abuse Regime -- Article 6 and the Disciplinary Regime for Authorised Firms and Approved Persons -- Conclusions -- 9. Holding the Balance - Effective Enforcement, Procedural Fairness and Human Rights -- Introduction: The Human Rights Act 1998 -- The Financial Services and Markets Act 2000 and Human Rights -- Article 6 of the HRA -- Article 6 and the FSMA -- Article 7 -- Article 7 and the FSMA -- May a Disciplinary Charge be Classified as Criminal for the Purposes of the ECHR? If so, can the Impact of that be Reduced? -- Might Disciplinary or Market Abuse Charges be Regarded as Uncertain if Article 7 Applies? -- 10. Regulating the Regulator - A Lawyer's Perspective on Accountability and Control -- Introduction -- Legislative Mandate -- Oversight -- Internal Controls -- Ministerial Controls -- Parliamentary Controls -- Stakeholder Control -- Oversight: Conclusions -- Due Process -- Rule-Making -- Disciplinary and Enforcement Powers -- Due Process: Conclusions -- Redress -- Appeals -- Judicial Review -- Statutory Immunity -- Administrative Redress -- Redress: Conclusions -- General Conclusion. |
| 505 8# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | 11. Regulating the Regulator - An Economist's Perspective on Accountability and Control -- Can One Measure Success/Failure? The Contrast Between the Monetary Policy Committee and the Financial Service Authority -- Economic Objectives -- Cost/Benefit Analysis -- Rules of Conduct -- Transparency and Market Discipline -- Accountability -- Conclusions -- 12. Public Accountability in the Financial Sector -- Accountability and Governance -- Definition of Accountability -- The Place of Transparency in the Framework of Accountability -- Transparency in the Framework of Accountability -- Independence and Accountability -- The Accountability of Independent Central Banks: The Example of the Bank of England -- The Accountability of the FSA -- Criteria of Assessment -- Evaluation of the Accountability of the FSA -- Concluding Remarks -- 13. Regulating European Markets: The Harmonisation of Securities Regulation in Europe in the New Trading Environment -- The Present State of the Regulation of Securities Markets in the EU -- Regulation of the Markets Under the Modified Trading Landscape -- The New Regulatory Pattern -- Conclusion -- 14. The Case for a European Securities Commission (ESC) -- Introduction -- Why Harmonise? -- The Current Position of the European Union -- The Case for an ESC -- Conclusion -- Postscript by the Author -- 15. New Issues in International Financial Regulation -- The Development of International Financial Regulation -- The Challenges Facing International Financial Regulation -- A Common Theoretical Framework -- Macroeconomic and Microeconomic Aspects of International Regulation -- Pro-Cyclical and Pro-Contafion Risk Management -- The Harmonisation of Risk Management in Differing Corporate Governance Structures -- The Political Challenge of Accountability in a Soft Law Regime. |
| 505 8# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | Devising an Institutional Structure that Performs the Tasks of the Template WFA -- Summing-Up -- 16. The Financial Stability Forum (FSF): Just Another Acronym? -- Background -- What is Different About the FSF? -- Codes and Standards -- Capital Flows -- Highly-Leveraged Institutions (HLIS) -- Offshore Financial Centres (OFCS) -- What Next for the FSF? -- 17. The Need for Efficient International Financial Regulation and the Role of a Global Supervisor -- Introduction -- The Need for International Regulation -- The Case of the Basel Framework of Banking Supervision -- The Role of a Global Supervisor -- Conclusion -- 18. The Role of Rating Agencies in Global Market Regulation -- Introduction -- Analysis -- Multinational Considerations -- Conclusions -- 19. The Role of Credit Rating Agencies in the Establishment of Capital Standards for Financial Institutions in a Global Economy -- Background on Regulatory Incorporation of Credit Rating Agencies -- Rating Agencies Under the Basel Committee Proposals of June 1999 -- Criticisms -- Alternative Approaches to Setting the Capital Requirements for Credit Risks -- Implications for the Basel Proposals for Regulatory Policy -- 20. The Challenge of Technology - Regulation of Electronic Financial Markets -- Part I: Securities and Derivatives Markets -- The Impact of Technology -- Issues for Regulators -- Conclusion -- Part II: Nasdaq -- Online Perspectives -- Market Perspectives -- Market Structure -- Market Regulator -- Online Issues -- Conclusion -- Part III: London Stock Exchange -- Regulatory Systems -- Costs -- Challenges -- Why Regulate -- What do we Regulate? -- How do we Regulate? -- The Role of IT in Market Regulation -- Market Evolution -- Conclusion -- Index. |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | This interdisciplinary book provides an authoritative analysis of the underlying issues affecting the broad development of financial services regulation. |
| 588 ## - SOURCE OF DESCRIPTION NOTE | |
| Source of description note | Description based on publisher supplied metadata and other sources. |
| 590 ## - LOCAL NOTE (RLIN) | |
| Local note | Electronic reproduction. Ann Arbor, Michigan : ProQuest Ebook Central, 2024. Available via World Wide Web. Access may be limited to ProQuest Ebook Central affiliated libraries. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Financial services industry -- Law and legislation -- Wales. |
| 655 #4 - INDEX TERM--GENRE/FORM | |
| Genre/form data or focus term | Electronic books. |
| 700 1# - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Goodhart CBE, Charles. |
| 776 08 - ADDITIONAL PHYSICAL FORM ENTRY | |
| Relationship information | Print version: |
| Main entry heading | Ferran, Eilís |
| Title | Regulating Financial Services and Markets in the 21st Century |
| Place, publisher, and date of publication | London : Bloomsbury Publishing Plc,c2001 |
| International Standard Book Number | 9781841132792 |
| 797 2# - LOCAL ADDED ENTRY--CORPORATE NAME (RLIN) | |
| Corporate name or jurisdiction name as entry element | ProQuest (Firm) |
| 856 40 - ELECTRONIC LOCATION AND ACCESS | |
| Uniform Resource Identifier | <a href="https://ebookcentral.proquest.com/lib/orpp/detail.action?docID=1750718">https://ebookcentral.proquest.com/lib/orpp/detail.action?docID=1750718</a> |
| Public note | Click to View |
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