Principled Regulatory Action The Case Of Short Selling
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Principled Regulatory Action The Case Of Short Selling
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Author : Kym Sheehan
language : en
Publisher:
Release Date : 2010
Principled Regulatory Action The Case Of Short Selling written by Kym Sheehan and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010 with categories.
Mid-September 2008 saw governments around the world initiating emergency regulatory action to ban short selling. Short selling is a practice that has existed for many years and is regarded as a valuable activity to aid price discovery by the market. If regulatory action by securities regulators is aimed at promoting an efficient and informed market, actions to ban or restrict short selling may prove to be out-of-step with the objectives and principles of securities regulation. This paper examines the initial regulatory responses with respect to short selling from the perspective of three jurisdictions namely UK, Australia and the USA. The paper demonstrates that the regulatory responses differed due to the different 'standing starts' from which each regulator began the race to respond to the volatility in securities markets. It also illustrates that the different standing starts reflect the different problems with short selling in the particular jurisdiction. Thirdly, it shows how delegated rule making powers were used by each regulator to make rules that included rules with criminal sanctions attached. Finally it highlights the potential difficulties that global initiatives seeking a common approach to short selling regulation face. Such potential difficulties arise to threshold issues such as the nature of the relationship between the seller and the securities that make a sale of that security a short sale. The paper offers a definition of short selling that takes into account the various ways in which the share/stock may be sourced for settlement. By examining the regulatory objectives of each of three regulators, the FSA, ASIC and the SEC, it examines how an outright ban on certain short-selling combined with a disclosure regime for other short-selling fits in with the policy and objectives of securities market regulation articulated by the International Organisation of Securities Regulators.
The Regulatory Aftermath Of The Global Financial Crisis
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Author : Eilís Ferran
language : en
Publisher: Cambridge University Press
Release Date : 2012-11-15
The Regulatory Aftermath Of The Global Financial Crisis written by Eilís Ferran and has been published by Cambridge University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-11-15 with Business & Economics categories.
Provides an unrivalled understanding of major regulatory reforms that will profoundly affect the future of finance.
Singapore
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Author : International Monetary Fund. Monetary and Capital Markets Department
language : en
Publisher: International Monetary Fund
Release Date : 2013-12-05
Singapore written by International Monetary Fund. Monetary and Capital Markets Department and has been published by International Monetary Fund this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-12-05 with Business & Economics categories.
This paper discusses the findings of the Detailed Assessment of Implementation on the International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation on Singapore. Overall compliance with IOSCO principles is generally high, although the assessors identified some vulnerabilities that need to be resolved. The Monetary Authority of Singapore’s (MAS) enforcement philosophy as regards securities markets and the financial intermediaries active therein is cogent, with outcomes focused and well developed. The Securities and Futures Act (Cap. 289) provides an effective framework to enable the sharing of information and cooperation between MAS and foreign regulators on supervisory and enforcement matters.
Indonesia
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Author : International Monetary Fund
language : en
Publisher: International Monetary Fund
Release Date : 2012-07-18
Indonesia written by International Monetary Fund and has been published by International Monetary Fund this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-07-18 with Business & Economics categories.
This paper discusses implementation of the International Organization of Securities Commissions (IOSCO) objectives and principles of securities regulation in Indonesia. The Capital Markets and Financial Institutions Supervisory Agency (BAPEPAM-LK) has taken impressive steps to increase the transparency of regulation and to institute a comprehensive operational program that meets international norms and Indonesia’s understanding of best practices. This paper reveals that the regulatory framework, regulatory powers, and requirements pertaining to the securities regulator are highly transparent. The roles of the regulators and supervisors are also clearly defined.
The Fundamental Principles Of Financial Regulation
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Author : Charles Albert Eric Goodhart
language : en
Publisher: Geneva Reports on the World Ec
Release Date : 2009
The Fundamental Principles Of Financial Regulation written by Charles Albert Eric Goodhart and has been published by Geneva Reports on the World Ec this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Business & Economics categories.
Analytical background -- Nature of systemic risk -- Who should be regulated (by whom) -- Counter-cyclical regulation -- Regulation of liquidity and maturity mismatches -- Other regulatory issues -- The structure of regulation -- Conclusions -- Appendix : the boundary problem in financial regulation -- Discussion and roundtables.
Principles Of Financial Regulation
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Author : John Armour
language : en
Publisher: Oxford University Press
Release Date : 2016
Principles Of Financial Regulation written by John Armour and has been published by Oxford University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016 with Business & Economics categories.
Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of financial regulation.
Oxford Principles Of European Union Law
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Author : Robert Schütze
language : en
Publisher: Oxford University Press
Release Date : 2018-02-23
Oxford Principles Of European Union Law written by Robert Schütze and has been published by Oxford University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-02-23 with Law categories.
Since the 1957 Rome Treaty, the European Union has changed dramatically - in terms of its composition, scope and depth. Originally established by six Western European States, the EU today has 28 Members and covers almost the entire European continent; and while initially confined to establishing a "common market", the EU has come to influence all areas of political, economic and social life. In parallel with this enormous geographic and thematic expansion, the constitutional and legislative principles underpinning the European Union have constantly evolved. This three-volume study aims to provide an authoritative academic treatment of European Union law. Written by leading scholars and practitioners, each chapter offers a comprehensive and critical assessment of the state of the law. Doctrinal in presentation, each volume nonetheless tries to present a broader historical and comparative perspective. Volume I provides an analysis of the constitutional principles governing the European Union. It covers the history of the EU, the constitutional foundations, the institutional framework, legislative and executive governance, judicial protection, and external relations. Volume II explores the structure of the internal market, while Volume III finally analyses the internal and external substantive policies of the EU.
Principles Of Project Finance
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Author : E. R. Yescombe
language : en
Publisher: Academic Press
Release Date : 2013-11-13
Principles Of Project Finance written by E. R. Yescombe and has been published by Academic Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-11-13 with Business & Economics categories.
The Second Edition of this best-selling introduction for practitioners uses new material and updates to describe the changing environment for project finance. Integrating recent developments in credit markets with revised insights into making project finance deals, the second edition offers a balanced view of project financing by combining legal, contractual, scheduling, and other subjects. Its emphasis on concepts and techniques makes it critical for those who want to succeed in financing large projects. With extensive cross-references and a comprehensive glossary, the Second Edition presents anew a guide to the principles and practical issues that can commonly cause difficulties in commercial and financial negotiations. Provides a basic introduction to project finance and its relationship with other financing techniques Describes and explains: sources of project finance; typical commercial contracts (e.g., for construction of the project and sale of its product or services) and their effects on project-finance structures; project-finance risk assessment from the points of view of lenders, investors, and other project parties; how lenders and investors evaluate the risks and returns on a project; the rôle of the public sector in public-private partnerships and other privately-financed infrastructure projects; how all these issues are dealt with in the financing agreements
Administrative Regulation Beyond The Non Delegation Doctrine
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Author : Marta Simoncini
language : en
Publisher: Bloomsbury Publishing
Release Date : 2018-06-28
Administrative Regulation Beyond The Non Delegation Doctrine written by Marta Simoncini and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-06-28 with Law categories.
The importance of administration in the EU has been growing progressively together with the development of EU competences and tasks in the internal market. From the original model of a Community leaving enforcement with the Member States, the EU has become a complex legal order where administrative tasks are spread among different actors, including EU institutions, EU agencies and national administrations. Within this complex administrative law landscape, agencies and their powers have been essentially 'upgraded'. This volume asks whether any such 'upgrade' is compatible with EU law and its principles. Exploring both the case law of the CJEU and the regulation relating to EU agencies, the volume asks a crucial question about the legitimacy of the ever-increasing role of agencies in the enforcement of EU law.
Short Selling Activity In The Stock Market
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Author : United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee
language : en
Publisher:
Release Date : 1991
Short Selling Activity In The Stock Market written by United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1991 with Consumer protection categories.