Risk and Regulation in Global Securities Markets; Capital Adequacy Rules and the Level Playing Field

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Risk and Regulation in Global Securities Markets Richard Dale Global financial markets are undergoing tumultuous change. New products, technologies and increased cross-border financial activity now offer today's lenders, borrowers, investors and speculators a highly efficient means for financial transactions. However, these mechanisms can become a channel for transmitting financial shocks around the world with devastating speed and power: hence the growing importance of international regulatory co-ordination. ...
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Overview

Risk and Regulation in Global Securities Markets Richard Dale Global financial markets are undergoing tumultuous change. New products, technologies and increased cross-border financial activity now offer today's lenders, borrowers, investors and speculators a highly efficient means for financial transactions. However, these mechanisms can become a channel for transmitting financial shocks around the world with devastating speed and power: hence the growing importance of international regulatory co-ordination. Risk and Regulation in Global Securities Markets focuses on the regulation of securities business, but as the collapse of Barings demonstrated, securities and banking activities have become inextricably linked. The author identifies the key characteristics of the new global financial markets, and compares contrasting approaches to the regulation of investment firms in the major financial centres in Europe, Japan and the US. He considers the regulatory challenge posed by the explosion in derivatives trading, and describes the various international regulatory initiatives being implemented by the European Union, Basle Committee on Banking Supervision and the International Organization of Securities Commissions. The main focus throughout is on capital adequacy, but the study also addresses potential competitive distortions, as between banks, securities firms and financial institutions from different countries. Risk and Regulation in Global Securities Markets will be of interest to regulators, traders, brokers, institutional investors and bankers.

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Product Details

  • ISBN-13: 9780471957812
  • Publisher: Wiley, John & Sons, Incorporated
  • Publication date: 9/12/1996
  • Edition number: 1
  • Pages: 352
  • Product dimensions: 6.16 (w) x 9.23 (h) x 1.01 (d)

Table of Contents

Acknowledgments
Preface
1 Financial Regulation in the New Global Markets 1
2 The Regulation of Investment Firms in the European Union 21
3 The Capital Adequacy Regulation of US Broker-Dealers 60
4 Japan's New Financial Regulatory Regime 104
5 Global Regulatory Initiatives 135
6 Derivatives: The New Regulatory Challenge 152
7 Summary and Conclusions 183
Appendix 1 The Barings Disaster: A Warning to Regulators 189
Appendix 2 Implementing the CAD 205
Appendix 3 Comparison of Position Risk Requirements 217
Appendix 4 Supervising Financial Conglomerates 220
Appendix 5 EC Council Directive (93/6/EEC) of 15 March 1993 228
Appendix 6 Amendment to the Capital Accord to Incorporate Market Risks 279
Index 337
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