Financial Markets and Compliance

Research output: Chapter in Book / Report / Conference proceedingChapterAcademic

Abstract

This chapter will focus on the goals of financial market regulation through the rules of economics, the strategies financial regulation employs to achieve these goals and the insights this provides for the compliance profession. For an overview of the goals and strategies of financial regulation this chapter will draw on the noteworthy work of John Armour et al. (2016).
In doing so, this chapter makes several important contributions. First, characterizing the goals of financial market regulation through the rules of economics will help compliance professionals to develop focused principles and criteria for assessing the merits of financial market regulation in order to develop a compliance framework. These principles and criteria are connected to the underlying functioning of the financial system, which the regulation is seeking to improve. Secondly, these principles and criteria can be used to assess and gain a deeper understanding of any financial regulation in any jurisdiction and could be used as heuristics. Thirdly, this will enable compliance professionals to escape from the 'silo' approach that disrupt the treatment of financial market regulation.
Original languageEnglish
Title of host publicationHandbook of Compliance & Integrity Management
EditorsSylvie Bleker, Raf Houben
PublisherKluwer International
Pages263
Number of pages283
ISBN (Electronic)978-90-411-8819-9
ISBN (Print)978-90-411-8818-2
Publication statusPublished - 2017

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Financial market regulation
Financial markets
Financial regulation
Economics
Financial system
Jurisdiction
Functioning
Heuristics

Cite this

van de Laar, T. A. H. M. (2017). Financial Markets and Compliance. In S. Bleker, & R. Houben (Eds.), Handbook of Compliance & Integrity Management (pp. 263). [14] Kluwer International.
van de Laar, T.A.H.M. / Financial Markets and Compliance. Handbook of Compliance & Integrity Management. editor / Sylvie Bleker ; Raf Houben. Kluwer International, 2017. pp. 263
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van de Laar, TAHM 2017, Financial Markets and Compliance. in S Bleker & R Houben (eds), Handbook of Compliance & Integrity Management., 14, Kluwer International, pp. 263.

Financial Markets and Compliance. / van de Laar, T.A.H.M.

Handbook of Compliance & Integrity Management. ed. / Sylvie Bleker; Raf Houben. Kluwer International, 2017. p. 263 14.

Research output: Chapter in Book / Report / Conference proceedingChapterAcademic

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van de Laar TAHM. Financial Markets and Compliance. In Bleker S, Houben R, editors, Handbook of Compliance & Integrity Management. Kluwer International. 2017. p. 263. 14