Making a success of Principles-based regulation

被引：113

作者：

Black, Julia ^{[1
]}

Hopper, Martyn ^{[2
]}

Band, Christa ^{[2
]}

机构：

[1] London Sch Econ & Polit Sci, London, England

[2] Herbert Smith LLP, London, England

来源：

LAW AND FINANCIAL MARKETS REVIEW | 2007年 / 1卷 / 03期

关键词：

D O I：

10.1080/17521440.2007.11427879

中图分类号：

D9 [法律]; DF [法律];

学科分类号：

0301 ;

摘要：

The UK Financial Services Authority (FSA) leads the way in the development of Principles-based regulation of the financial services industry. It is proposing a significant shift towards reliance on broadly stated Principles rather than more detailed rules. The implications of a more Principles-based approach for regulators, those regulated by the FSA and those whose interests the regulatory regime is designed to protect are the subject of ongoing dialogue.

引用

页码：191 / 206

页数：16