An EFTA View of Financial Market Regulation and Supervision

1991 ◽  
pp. 319-326
Author(s):  
Emil Ems
Keyword(s):  
Financial Market ◽  
Market Regulation ◽  
Financial Market Regulation ◽  
Regulation And Supervision

David against Goliath? Legal protection against supervisory actions in Switzerland

2019 ◽  
Vol 25 (6) ◽  
pp. 701-704
Author(s):  
Goran Studen
Keyword(s):  
Financial Market ◽  
Legal Protection ◽  
External Control ◽  
Market Regulation ◽  
Special Relationship ◽  
Specific Nature ◽  
Financial Market Regulation ◽  
Regulation And Supervision ◽  
Specific Activities ◽  
Family Foundations

Abstract In many respects, Swiss foundations are truly unique, also in terms of governance. Unlike other legal entities that are subject to external control by governmental bodies due to their specific activities (eg financial market regulation and supervision), Swiss foundations—with the exemption of ecclesiastical and family foundations—are supervised irrespective of the specific nature of their activities. This creates a special relationship between the supervised and the supervisor. However, problems occur when foundations find themselves exposed to supervisory actions they consider unjustified. Against this background, this article examines the instruments and the effectiveness of legal protection available to Swiss foundations.

The Capital Market Authority Effectiveness in the Regulation of Financial Markets perspectives from the financial sector actors

2012 ◽  
Vol 02 (11) ◽  
pp. 15-24
Author(s):  
Charles Kombo Okioga
Keyword(s):  
Financial Markets ◽  
Financial Market ◽  
Capital Markets ◽  
Capital Market ◽  
Financial Regulation ◽  
International Standards ◽  
Market Regulation ◽  
Financial Market Regulation ◽  
Market Participants ◽  
New Business

Capital Market Authority in Kenya is in a development phase in order to be effective in the regulation of the financial markets. The market participants and the regulators are increasingly adopting international standards in order to make the capital markets in sync with those of developed markets. New products are being introduced and new business lines are being established. The Capital Markets Authority (Regulator) is constantly reviewing existing regulations and recommending changes to regulate the market properly. Business lines and activities are being harmonized by market participants to provide a one stop solution in order to meet the financial and securities services needs of the investors. The convergence of business lines and activities of market intermediaries gives rise to the diversity of a firm’s business operations to meet multiplicity of regulations that its activities are subject to. The methodology used in this study was designed to examine the relationship between capital markets Authority effective regulation and the performance of the financial markets. The study used correlation design, the study population consisted of 30 employees in financial institutions regulated by Capital Markets Authority and 80 investors. The study found out that effective financial market regulation has a significant relationship with the financial market performance indicated by (r=0.571, p<0.01) and (r=0.716, p≤0.01, the study recommended a further research on the factors that hinder effective financial regulation by the Capital Markets Authority.

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