Measures by the Austrian Regulatory Authorities in Response to the Financial Market Crisis

2010 ◽  
Vol 11 (4) ◽  
pp. 527-548
Author(s):  
Susanne Kalss
Keyword(s):  
Financial Market ◽  
Regulatory Authorities ◽  
Financial Market Crisis

Bußgeldrechtliche Sanktionierung juristischer Personen im neuen Marktmissbrauchsrecht

2021 ◽  
Author(s):  
Ann-Kristin Reinartz
Keyword(s):  
Financial Market ◽  
Legal Issues ◽  
European Level ◽  
Central Object ◽  
Corporate Group ◽  
Market Abuse ◽  
Principle Of Proportionality ◽  
The Individual ◽  
Financial Market Crisis

The main cause of the financial market crisis was the lack of effective and deterrent sanctions for market abuse and the inadequate enforcement of these sanctions. The European legislator has addressed this shortcoming by massively tightening sanctions – especially fines against legal persons. The thesis examines new legal issues that arise in particular from the increasing regulatory density at the European level. The central object of investigation is the tension between the need for deterrent sanctions and the preservation of the principle of proportionality as well as other constitutional principles at the level of the individual company as well as the level of the corporate group.

Part II UK Securities Markets, 8 Transaction Reporting

2021 ◽  
Author(s):  
Hanif Saima
Keyword(s):  
Financial Market ◽  
Competent Authority ◽  
Price Formation ◽  
Securities Markets ◽  
Regulatory Body ◽  
Reporting Requirements ◽  
The Uk ◽  
Financial Market Crisis

This chapter explains “transaction reporting” as the process by which detailed information about a transaction is submitted to the appropriate regulatory body. It draws attention to the European transaction reporting requirements, particularly Article 20 of the Investment Services Directive, that can be traced to 1993. It also discusses the significant expansion of the pan—European harmonised approach to transaction reporting in 2008, following the introduction of new measures to address weaknesses and close loopholes caused by the financial market crisis. This chapter outlines how transaction reporting provides the Financial Conduct Authority (FCA) in the UK with a representation of the transaction that informs the competent authority about all the relevant circumstances under which the transaction took place. It describes how transaction reporting is operationally and conceptually distinct from “trade reporting” that is more concerned with the price formation.

scholarly journals Behavior of financial markets efficiency during the financial market crisis: 2007 – 2009

2014 ◽  
Vol 11 (2) ◽  
pp. 473-487 ◽  
Author(s):  
Ronald Henry Mynhardt ◽  
Alexey Plastun ◽  
Inna Makarenko
Keyword(s):  
Financial Markets ◽  
Market Efficiency ◽  
Financial Market ◽  
Hurst Exponent ◽  
Developed Countries ◽  
Market Analysis ◽  
Financial Market Crisis ◽  
Financial Market Analysis

This paper examines the behavior of financial markets efficiency during the recent financial market crisis. Using the Hurst exponent as a criterion of market efficiency we show that level of market efficiency is different for pre-crisis and crisis periods. We also classify financial markets of different countries by the level of their efficiency and reaffirm that financial markets of developed countries are more efficient than the developing ones. Based on Ukrainian financial market analysis we show the reasons of inefficiency of financial markets and provide some recommendations on their solution and thus improving the efficiency.

China’s Rising Financial Risks and Liquidity Problems

2019 ◽  
Vol 11 (02) ◽  
pp. 61-76
Author(s):  
Yao LI
Keyword(s):  
Financial Market ◽  
Market Segmentation ◽  
Financial Risk ◽  
Listed Companies ◽  
Shadow Banking ◽  
Financial Risks ◽  
Regulatory Authorities ◽  
Financing Channels ◽  
Financing Costs ◽  
The Government

Debt defaults of listed companies, the collapse of online financing platform and shadow banking problems have raised concerns about China’s financial risk since 2017. Meanwhile, financing costs are rising and the financing channels are shrinking. Fundamental problems such as ambiguous roles of the government and the market, financial market segmentation and the indistinct boundaries of responsibilities of different regulatory authorities still remain in China’s financial system.

Financial Innovations and Banks’ Risk Management

2012 ◽  
pp. 33-37
Author(s):  
S. Matrosov
Keyword(s):  
Risk Management ◽  
Financial Market ◽  
Management Policy ◽  
Financial Instrument ◽  
Financial Innovations ◽  
Financial Market Crisis ◽  
Risk Management Policy

The article deals with problems of revealing and hedging risks of securitization as an innovative financial instrument. The author analyzes gaps in securitized assets deals risk-management policy as one of global financial market crisis causes.

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