Regulatory Design

The Global Financial Crisis has demonstrated the limits of debates over privileging rules over principles or vica-versa. Effective regulatory design necessitates a pro-active interaction between rules, principles and social norms in order to determine that stated values actually inform practice. This series examines the impact of the GFC on regulatory design.

CLMR Working Paper 12-1: The Common Link in Failures and Scandals at the World’s Leading Banks

While the roots of recent institutional failures run deep, this past northern summer has revealed substantial compliance, risk management and governance failures at major international banks at an unprecedented level.

Originally Published:

Wednesday, August 1, 2012

CLMR Working Paper 12-4: The Great Game Rebooted or the Long March to Acceptance? The Legal and Policy Impediments to Chinese Investment in Australian Corporations and Business Opportunities

The rise of state capitalism poses profound questions for Australia.

Originally Published:

Saturday, September 1, 2012

High Frequency Frisbee Throwing

Originally Published:

Friday, September 21, 2012

Andy Haldane's speech gains traction but can the framework actually inform regulatory practice, perhaps, just perhaps, it can.

High Frequency Regulation: The Emergence of Structural Tensions

Originally Published:

Thursday, September 20, 2012

Is the Proposed Guidance by the Commodity Futures Trading Commission on OTC Derivatives Reform driving towards regulatory cohesion, confusion or imperialism?

Superannuation Fund Governance

Originally Published:

Tuesday, September 18, 2012

The governance of the superannuation funds remains an unresolved issue in Australia.

Resourcing Surveillance: Can ASIC Guarantee Security?

Originally Published:

Saturday, September 15, 2012

The ASIC chairman is making a calculated gamble in demonstrating how little capacity the agency has to police the market.

Financial Services Authority Proposes to Ban the Promotion of UCIS and Similar Products to Ordinary Retail Investors

The Financial Services Authority (FSA) has published proposals to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and similar products to the vast majority of retail investors in the UK.

Originally Published:

Wednesday, August 22, 2012

Financial Services Authority Speech - Rebuilding Trust and Confidence

Martin Wheatley, managing director of the Financial Services Authority (FSA), told an audience that there are still unresolved issues around how customers are treated across financial services and getting to grips with them is central to rebuilding confidence and trust.

Originally Published:

Friday, May 4, 2012

Shadow Banking and Financial Instability: Lord Turner speech to the CASS Business School

In a speech to the CASS Business School the Chairman of the Financial Services Authority (FSA), Lord Turner, set out how the ‘shadow banking’ sector contributed to the financial crisis, the risks it still poses to financial stability and the importance of a sufficiently comprehensive and radical pol

Originally Published:

Wednesday, March 14, 2012

Financial Regulators and Industry Meet

The Board of the Finance Industry Council of Australia (FICA) held talks with the APRA Chairman John Laker and Members, and ASIC Chairman Greg Medcraft and Commissioners on regulatory and other issues within the finance industry.

Originally Published:

Thursday, August 16, 2012

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Regulatory Design

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