Regulation of Securities and Capital Markets

Carlos M. Peláez and Carlos A. Peláez

Chapter 5 in Financial Regulation after the Global Recession, 2009, pp 121-149 from Palgrave Macmillan

Abstract: Abstract There is a contrast between the SEC in the United States, operating with rules and self-regulatory organizations (SRO), such as securities exchanges, and the FSA in the United Kingdom, functioning under principles. There are proposals by both systems for significant regulatory change. SOX is the most drastic recent regulation of corporate governance by capital markets regulators. The choice of jurisdiction where to list securities is discussed in the final section.

Keywords: Corporate Governance; Capital Market; Audit Committee; Financial Regulation; Investor Protection (search for similar items in EconPapers)
Date: 2009
References: Add references at CitEc
Citations:

There are no downloads for this item, see the EconPapers FAQ for hints about obtaining it.

Related works:
This item may be available elsewhere in EconPapers: Search for items with the same title.

Export reference: BibTeX RIS (EndNote, ProCite, RefMan) HTML/Text

Persistent link: https://EconPapers.repec.org/RePEc:pal:palchp:978-0-230-25124-3_6

Ordering information: This item can be ordered from
http://www.palgrave.com/9780230251243

DOI: 10.1057/9780230251243_6

Access Statistics for this chapter

More chapters in Palgrave Macmillan Books from Palgrave Macmillan
Bibliographic data for series maintained by Sonal Shukla () and Springer Nature Abstracting and Indexing ().