Financial Conglomerates and the Chinese Wall
Regulating Conflicts of Interest
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ISBN-13:
9780198257134
Veröffentl:
1993
Erscheinungsdatum:
30.09.1993
Seiten:
302
Autor:
Harry McVea
Gewicht:
676 g
Format:
237x160x30 mm
Sprache:
Englisch
Beschreibung:
While conglomerates bring with them many economic benefits, such as diversification of risk and economies of scale, they also impose such costs as systemic risk and conflict of interest abuses. This book explores how regulators can ensure that conglomerate regulation is sufficiently strong to eradicate abuses but sufficiently flexible to secure the benefits of conglomeration. The Chinese Wall - a regulatory mechanism aimed at stemming the flow of information from one department in a firm to another, and reconciling conflicts of interest more generally - is singled out for special treatment.
Big Bang and conflicts of interest and duty; insider dealing - the nature of the problem; regulatory approaches to insider dealing in the UK and the USA; the Chinese Wall; the Chinese Wall at general law; legislative and regulatory approval of Chinese Walls in the USA and the UK; the Chinese Wall - a policy analysis. Appendices: schedule 8 - principles applicable to designated agency's legislative provisions; Merrill Lynch's statement of policy.
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