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Use of Non-EU Ratings in the EU

Garcia Alcubilla and Ruiz del Pozo

in Credit Rating Agencies on the Watch List: Analysis of European Regulation

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199608867
eISBN:
9780191739125
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199608867.003.0004
Subject:
Economics and Finance, Financial Economics, Macro- and Monetary Economics

Agencies domiciled in non-EU countries do not need to be registered in order to issue ratings on EU issuers or on securities offered in the EU. However, these ratings may not be used for regulatory ... More


Perspectives on Dodd-Frank and Finance

Paul H. Schultz (ed.)

Published in print:
2014
Published Online:
May 2015
ISBN:
9780262028035
eISBN:
9780262325929
Item type:
book
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028035.001.0001
Subject:
Economics and Finance, Financial Economics

Leading scholars in economics, finance and law, along with regulators and practitioners, discuss Dodd-Frank and financial regulation. The origins of the Dodd-Frank Act in the financial crisis and ... More


Connectedness and Contagion: Protecting the Financial System from Panics

Hal S. Scott

Published in print:
2016
Published Online:
January 2017
ISBN:
9780262034371
eISBN:
9780262332156
Item type:
book
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034371.001.0001
Subject:
Economics and Finance, Economic History

The Dodd–Frank Act of 2010 was intended to reform financial policies in order to prevent another massive crisis such as the financial meltdown of 2008. Dodd–Frank is largely premised on the diagnosis ... More


Reform? Hubristic Intervention or Effective Democracy

Ewald Engelen, Ismail Ertürk, Julie Froud, Sukhdev Johal, Adam Leaver, Michael Moran, Adriana Nilsson, and Karel Williams

in After the Great Complacence: Financial Crisis and the Politics of Reform

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199589081
eISBN:
9780191731150
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199589081.003.0009
Subject:
Business and Management, Finance, Accounting, and Banking, Political Economy

In this concluding chapter, we do not produce lists of changes required to fix the financial system, but instead reflect on the preceding analysis to find some bearings that could lead towards a much ... More


Corporate Governance after the Financial Crisis

Stephen M. Bainbridge

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199772421
eISBN:
9780199932696
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199772421.001.0001
Subject:
Law, Company and Commercial Law

The years from 2000 to 2010 were bookended by two major economic crises. The bursting of the dotcom bubble and the extended bear market of 2000 to 2002 prompted Congress to pass the Sarbanes–Oxley ... More


Executive Compensation

Stephen M. Bainbridge

in Corporate Governance after the Financial Crisis

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199772421
eISBN:
9780199932696
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199772421.003.0005
Subject:
Law, Company and Commercial Law

Both Sarbanes–Oxley and Dodd–Frank included new executive compensation regulations. A key question is whether these provisions addressed actual corporate governance failures or were simply a sop to ... More


Introduction

Stephen M. Bainbridge

in Corporate Governance after the Financial Crisis

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199772421
eISBN:
9780199932696
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199772421.003.0001
Subject:
Law, Company and Commercial Law

This introductory chapter begins with a brief review of the events that precipitated the passage of the Public Company Accounting Reform and Investor Protection Act of 2002 (Sarbanes–Oxley) and the ... More


Panel Discussion on Stability, Resolution, and Dodd–Frank

James R. Barth, John Dearie, David Skeel, and Arthur Wilmarth

in Perspectives on Dodd-Frank and Finance

Published in print:
2014
Published Online:
May 2015
ISBN:
9780262028035
eISBN:
9780262325929
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028035.003.0006
Subject:
Economics and Finance, Financial Economics

In this panel discussion, John Dearie, Executive Vice President of the Financial Services Forum, lists several shortcomings of Dodd-Frank, but contends that the banking system is far stronger than it ... More


Voluntary Disruptions: International Soft Law, Finance, and Power

Abraham L. Newman and Elliot Posner

Published in print:
2018
Published Online:
April 2018
ISBN:
9780198818380
eISBN:
9780191859526
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198818380.001.0001
Subject:
Political Science, Democratization

From home mortgages to iPhones, basic elements of our daily lives depend on international markets. The astonishing complexity of these exchanges may seem ungoverned. Yet the global economy remains ... More


The Fed’s Role, Other Domestic Policies, and Conditions Abroad

Stephen H. Axilrod

in The Federal Reserve: What Everyone Needs to Know

Published in print:
2013
Published Online:
September 2013
ISBN:
9780199934485
eISBN:
9780199345786
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199934485.003.0006
Subject:
Economics and Finance, Macro- and Monetary Economics

This chapter addresses the following questions: What policies outside the Fed's control most influence its policy effectiveness? How do fiscal and monetary policies best fit together? And how are ... More


Harmonizing the Regulation of Financial Advisers

Arthur B. Laby

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0013
Subject:
Business and Management, Pensions and Pension Management

When buying stocks, bonds, mutual funds, and other securities, individuals seeking advice typically turn to broker-dealers or investment advisers before they invest. In many cases, brokers and ... More


Systemic Risk, Institutional Design, and the Regulation of Financial Markets

Anita Anand (ed.)

Published in print:
2016
Published Online:
January 2017
ISBN:
9780198777625
eISBN:
9780191823183
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198777625.001.0001
Subject:
Law, Company and Commercial Law

Following the recent financial crisis, regulators have been preoccupied with the concept of systemic risk in financial markets, believing that such risk could cause the markets that they oversee to ... More


Capital Markets, Derivatives and the Law: Evolution After Crisis

Alan N. Rechtschaffen

Published in print:
2014
Published Online:
May 2014
ISBN:
9780199971541
eISBN:
9780199361458
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199971541.001.0001
Subject:
Law, Company and Commercial Law

During the financial crisis, dramatic events undermined the global economy. Failures in individual markets and institutions sparked a financial crisis that resulted in political, social, and economic ... More


Chapter Ten Financial Reform Revisited

Morgan Ricks

in The Money Problem: Rethinking Financial Regulation

Published in print:
2016
Published Online:
September 2016
ISBN:
9780226330327
eISBN:
9780226330464
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226330464.003.0011
Subject:
Law, Company and Commercial Law

Prior to the recent financial crisis, the U.S. monetary system was characterized by the absence of legal restrictions on the issuance of private money (cash equivalents), coupled with an implicit ... More


Introduction

Paul H. Schultz

in Perspectives on Dodd-Frank and Finance

Published in print:
2014
Published Online:
May 2015
ISBN:
9780262028035
eISBN:
9780262325929
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028035.003.0001
Subject:
Economics and Finance, Financial Economics

This chapter discusses the origins of the Dodd-Frank Act in the 2008 financial crisis. Sections of the Act are described and summarized, and discussions about how these different parts of the law are ... More


Financial Reform Revisited

Morgan Ricks

in The Money Problem: Rethinking Financial Regulation

Published in print:
2016
Published Online:
September 2016
ISBN:
9780226330327
eISBN:
9780226330464
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226330464.003.0011
Subject:
Law, Company and Commercial Law

Prior to the recent financial crisis, the U.S. monetary system was characterized by the absence of legal restrictions on the issuance of private money (cash equivalents), coupled with an implicit ... More


The 2011 FDIC Assessment on Banks’ Managed Liabilities: Interest Rate and Balance-Sheet Responses

Lawrence L. Kreicher, Robert N. McCauley, and Patrick McGuire

in Taxation and Regulation of the Financial Sector

Published in print:
2015
Published Online:
May 2015
ISBN:
9780262027977
eISBN:
9780262321099
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262027977.003.0015
Subject:
Economics and Finance, Financial Economics

The financial crisis led to discussion of corrective bank taxes to promote financial stability. This paper interprets the widening of the FDIC assessment base from deposits to assets less equity for ... More


Measuring Margin

McDonald Robert L.

in Risk Topography: Systemic Risk and Macro Modeling

Published in print:
2014
Published Online:
January 2015
ISBN:
9780226077734
eISBN:
9780226092645
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226092645.003.0006
Subject:
Economics and Finance, Financial Economics

Policy makers and market participants alike wish to understand the amount, economic significance, and concentration of derivatives trading activity. This paper suggests that systematic measuring and ... More


U.S. and EU Regulatory Proposals: How Strict? How Cooperative?

Padma Desai

in From Financial Crisis to Global Recovery

Published in print:
2011
Published Online:
November 2015
ISBN:
9780231157865
eISBN:
9780231527743
Item type:
chapter
Publisher:
Columbia University Press
DOI:
10.7312/columbia/9780231157865.003.0006
Subject:
Economics and Finance, Public and Welfare

This chapter discusses the U.S. and EU regulatory proposals for dealing with the global financial crisis. The Dodd-Frank Wall Street Reform and Consumer Protection Act were two of the landmark ... More


Comparison of LLR Powers of Fed with Bank of England, European Central Bank, and Bank of Japan

Hal S. Scott

in Connectedness and Contagion: Protecting the Financial System from Panics

Published in print:
2016
Published Online:
January 2017
ISBN:
9780262034371
eISBN:
9780262332156
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034371.003.0010
Subject:
Economics and Finance, Economic History

The Fed's three major peers are the Bank of England (BOE), the European Central Bank, and the Bank of Japan (BOJ). This chapter begins with a description of the powers of the three peer central ... More


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