Enforcement of Capital Markets Regulation: The United Kingdom and Its International Markets

Iain MacNeil

Chapter 7 in Private Equity, Corporate Governance and the Dynamics of Capital Market Regulation, 2007, pp 143-177 from World Scientific Publishing Co. Pte. Ltd.

Abstract: AbstractThe following sections are included:RISK-BASED REGULATION AND ENFORCEMENTPRINCIPLES-BASED REGULATION AND ENFORCEMENTThe Move towards More-Principles-Based RegulationThe Enforcement Implications of Principles-Based RegulationTHE ROLE OF SELF-REGULATION AND MARKET DISCIPLINECORPORATE, COLLECTIVE OR INDIVIDUAL RESPONSIBILITY?THE ROLES OF PUBLIC AND PRIVATE ENFORCEMENTPublic EnforcementPrivate EnforcementSETTLEMENT AND SANCTIONSSanctions: The Statutory OptionsSettlements: Process and IncentivesProcedural ComplicationsCONCLUSION

Keywords: Private Equity; Conflicts of Interest; Financial Regulation; Enforcement; Investment Banks; Fiduciary Duties (search for similar items in EconPapers)
Date: 2007
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