Download Financial Markets Regulation: A Practitioner’s Perspective by Alain Jeunemaître PDF

By Alain Jeunemaître

What lies on the middle of monetary legislation? financial rules? Public curiosity explanations? Bureaucratic systems? Many lecturers have generally written on monetary legislation. infrequently, practitioners, and specifically eu practitioners, have had their say, the chance to precise their perspectives on how monetary legislation is and will be ruled. The ebook makes an attempt to fill that hole: heads of Securities Commissions, representatives of self-regulatory companies and exchanges, attorneys, have debated at the varied problems with legislation. They draw the teachings from their adventure and their regulatory achievements.

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A comment on financial services regulation: making the two tier system work . LSE Financial Markets Group, Special Paper Series, n 56, October 1993. 15 CHAPTER 1 The assessment of financial regulation from a regulator's perspective Michael Blair' General Performance measurement is now increasingly in vogue in the investment industry , not least in the area of fund management. There are techniques , special to the industry, for comparing performance against competitors and against a market or index.

It therefore appears necessary to supplement it with an analysis of functional standards that could apply to PTSs as far as they perform functions normally executed by exchanges. A functional approach appears to be better adapted to an evolution that appears to be irreversible. The main purpose of this approach is to establish a set of criteria that would apply to PTSs and that would allow regulators to ensure that PTSs will perform according to the general principles of fairness, transparency, security and efficiency.

These are specialized by exchanges and by intermediaries, they are supervised and monitored by the SEC or the CFTC . The efficiency of the regulatory system rests on the relations between the statutory regulator and the professional bodies: there is a clear accountability of the self-regulatory bodies to the SEC, the CFTC or the SIB, as appropriate. Whereas ethical regulation or day-to-day supervision is better realised at the self-regulatory level, an independent public authority is the guarantor of investor protection.

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