Political Cycles in Financial Regulatory Enforcement

2013 ◽  
Author(s):  
Joyce Lawrence
Keyword(s):  
Regulatory Enforcement ◽  
Political Cycles ◽  
Financial Regulatory

scholarly journals Financial Regulatory Governance in South Africa: The Move Towards Twin Peaks

2017 ◽  
Vol 25 (3) ◽  
pp. 393-417 ◽  
Author(s):  
Andrew Schmulow
Keyword(s):  
South Africa ◽  
South African ◽  
Financial System ◽  
System Stability ◽  
Regulatory Enforcement ◽  
Market Conduct ◽  
Regulatory Governance ◽  
Twin Peaks ◽  
Similarities And Differences ◽  
Financial Regulatory

This article examines the implementation of the Twin Peaks model of financial system regulation in South Africa, the purpose of which is to create a financial system stability regulator, and a financial system consumer protection and market conduct regulator. It examines the historical development of Twin Peaks and its regulatory enforcement principles. It then analyses the similarities and differences between Twin Peaks in Australia (upon which the South African reforms are based) and South Africa. Finally the article provides concluding observations.

AML compliance in the age of individual accountability

2017 ◽  
Vol 18 (3) ◽  
pp. 44-47
Author(s):  
Carlton Greene ◽  
Thomas Hanusik ◽  
Cari Stinebower ◽  
Sarah Bartle
Keyword(s):  
Financial Services ◽  
Regulatory Agencies ◽  
Regulatory Enforcement ◽  
Content Type ◽  
First Occurrence ◽  
Practical Guidance ◽  
Individual Accountability ◽  
Enforcement Activity ◽  
Financial Regulatory ◽  
Civil Penalty

Purpose To analyze FinCEN’s settlement with Thomas Haider and examine regulatory agencies’ emphasis on individual accountability and the implications of this emphasis for anti-money laundering (AML) compliance personnel, and to provide practical guidance for personnel who have involvement with or oversight of corporate AML programs. Design/methodology/approach This article analyzes the Thomas Haider settlement and its importance for individuals involved in AML compliance functions. This analysis includes an examination of several recent corporate and individual enforcement actions to contextualize the Thomas Haider settlement and its usefulness in the prediction of trends in the financial regulatory space. Findings This article concludes that FinCEN’s May 2017 settlement with Thomas Haider, which resolved the first occurrence of FinCEN’s filing suit to enforce a civil penalty against an individual, illustrates the importance of effective AML programs and highlights the potential consequences for individuals who fail to ensure effective programs. The article also makes specific practical suggestions for AML compliance personnel, and finds that such personnel should be particularly conscientious in light of regulatory agencies’ focus on individual accountability in resolving corporate enforcement actions. Originality/value This article contains valuable information about recent regulatory enforcement activity and practical guidance for AML compliance personnel from experienced lawyers with specialties in financial services and white collar regulatory enforcement.

IIII (Basel III and Global Financial Regulatory Reform)

2011 ◽  
Author(s):  
Shin Dong Jeung
Keyword(s):  
Regulatory Reform ◽  
Basel Iii ◽  
Financial Regulatory

Who, Republican or Democrat CEOs, Laughs Last? Political Cycles in the Market for Corporate Directors

2018 ◽  
Author(s):  
Changmin Lee ◽  
Jihong Jeon ◽  
Woonam Seok
Keyword(s):  
Political Cycles

Income Tax Shocks, Political Cycles, and Asset Prices

2018 ◽  
Author(s):  
Ruchith Dissanayake
Keyword(s):  
Income Tax ◽  
Asset Prices ◽  
Political Cycles ◽  
Tax Shocks

Development of a risk-based tool for groundwater well rehabilitation and replacement decisions

2019 ◽  
Vol 68 (6) ◽  
pp. 411-419 ◽  
Author(s):  
Gamze Güngör-Demirci ◽  
Juneseok Lee ◽  
Jonathan Keck ◽  
Stephen J. Harrison ◽  
Geoffrey Bates
Keyword(s):  
Water Utilities ◽  
Risk Exposure ◽  
Decision Making Process ◽  
Business Risk ◽  
California Water ◽  
Operational Costs ◽  
Replacement Decisions ◽  
Well Rehabilitation ◽  
Hierarchy Process ◽  
Financial Regulatory

Abstract Groundwater wells are critical drinking water infrastructure elements that widely support basic system supply needs while also providing supply reliability, better water quality (in some cases), and comparatively lower operational costs. Well rehabilitation and replacement are thus an area where water utilities could benefit from rational decision support frameworks and quantitative tools that enable them to better navigate the complex trade-off relationship(s) that exist among a variety of environmental quality, public health, financial, regulatory, organizational, and technological dimensions. Consistent with these considerations, a business risk-based prioritization tool was developed for this study that augments/extends California Water Service (Cal Water)'s well rehabilitation and the replacement decision-making process. For this derivation, a business risk exposure methodology is combined with an analytical hierarchy process (AHP), with the AHP being utilized to determine the weights of the factors involved in the likelihood of failure and the consequence of failure calculation. It is expected that the new tool will assist in optimizing inspection and action plans and identify the wells requiring attention and/or additional work for water utilities.

scholarly journals When the EU takes the field. Innovative forms of regulatory enforcement in the fisheries sector

2021 ◽  
pp. 1-18
Author(s):  
Mariolina Eliantonio ◽  
Federica Cacciatore
Keyword(s):  
Regulatory Enforcement ◽  
The Eu
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