New Governance, Compliance, and Principles‐Based Securities Regulation

Identifieur interne : 006306 ( Main/Exploration ); précédent : 006305; suivant : 006307

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New Governance, Compliance, and Principles‐Based Securities Regulation

Auteurs : Cristie L. Ford

Source :

• American Business Law Journal [ 0002-7766 ] ; 2008-03.

RBID : ISTEX:5DC3D3FB83DA7A6486F1247B5288A27D503294B9

Descripteurs français

• Wicri :
  • topic : Courtier, Responsabilité civile, Gouvernement d'entreprise, Protection de l'environnement, Gouvernance, Légitimité, Sécurité du travail, Administration publique, Règlement, Cadre supérieur.

English descriptors

• KwdEn :
  • Account supervision, Account supervision case, Account supervision systems, Accountability, Accounting principles, Accounting regulation, Accounting standards, Administrative guidance, Advisor, American approach, American business, American gaap, Article parts ways, Ascribing content, Ayres, Ayres braithwaite, Bcsc, Bcsc capital markets regulation division, Behavioral analysis, Best form, Best interests, Best practice, Best practices, Better regulation, Braithwaite, British columbia, British columbia securities, Broader group, Broker, Business plan, Canadian, Canadian regulators, Capital ideas conference, Capital markets, Capital markets division, Capital markets regulation division, Chief executive, Christina wolf, Civil liability, Clara furse, Client accounts, Collaborative governance, Commissioner robin ford, Commodity futures trading commission, Compliance, Compliance context, Compliance department, Compliance indicators, Compliance practices, Compliance processes, Compliance risks, Compliance rules, Compliance staff, Compliance standards, Compliance system, Compliance systems, Conduct provisions, Continuous market access, Continuous market access approach, Corporate compliance, Corporate governance, Corporate governance industry, Corporate liability, Cosmetic compliance, Credible, Credible enforcement, Criminal code, Daily reviews, Darren sinclair, David wilson, Decision makers, Democratic experimentalism, Disclosure, Disclosure requirements, Dorf, Dorf sabel, Early years, Edward rubin, Effective mechanism, Effective ones, Effective system, Electronic records, Enforcement pyramid, Enforcement staff, Enronstyle scandal, Environmental protection, Environmental regulation, Exchange commission, Exible, Facial compliance, Factual issues, Fasb, Financial services authority, Frederick schauer, Frontline, Frontline regulator, Frontline regulators, Gaap, Good business practice, Good compliance, Good compliance processes, Good deal, Good practices, Governance, Governance approaches, Governance forum, Governance regime, Governance theory, Guidance note, Guideline, Gunningham, Gunningham sinclair, Health administration, Http, Hybrid, Hybrid system, Impact analysis, Important components, Important role, Industry action, Industry actors, Industry associations, Industry councils, Industry experience, Internal policies, Investment dealers association, Investor, Issuer, Jakab, Jakab interview, Jakab notes, Jody freeman, John braithwaite, John tiner, Large number, Legal form, Legitimacy, Liebman charles, Liebman sabel, London stock exchange, Louis kaplow, Management systems, Market actors, Market failures, Market regulation services, Material change, Material information, Member regulation notice, Michael sorbo, Minimum standards, Model shares, Monthly reviews, Moral hazard, More approach, More principles, More rule, Nance products, Nancial, National instrument, Neil gunningham, Network effects, Occupational safety, Ongoing, Ontario, Ontario securities commission, Order disgorgement, Other areas, Other forms, Other industry actors, Other stakeholders, Other words, Particular business risks, Particular cases, Particular challenges, Particular environment, Patrick dunleavy, Post costs, Preexisting rules, Prescriptive, Prescriptive rules, Principlesbased, Principlesbased approach, Principlesbased regulation, Private actors, Private placement, Product development, Professor cunningham, Proprietary systems, Prosecutorial discretion, Prospectus, Public administration, Public consultations, Public interest, Public interest powers, Public management, Reform undertakings, Regulation, Regulator, Regulatory, Regulatory action, Regulatory agenda, Regulatory approach, Regulatory approval, Regulatory burden, Regulatory discretion, Regulatory expectations, Regulatory failure, Regulatory goals, Regulatory impact analysis, Regulatory mandates, Regulatory objectives, Regulatory outcomes, Regulatory overreaching, Regulatory policy, Regulatory practice, Regulatory principle, Regulatory principles, Regulatory reform, Regulatory regime, Regulatory requirements, Regulatory rules, Regulatory standards, Regulatory structure, Regulatory systems, Regulatory tripartism, Reinventing, Reinventing government, Reinventing regulation, Responsive regulation, Risk management, Root cause analysis, Royal assent, Rulemaking, Sabel, Same time, Sandy jakab, Scam capital, Securities amendment, Securities laws, Securities legislation, Securities markets, Securities regulation, Securities regulator, Securities regulators, Securities rules, Senior management, Sept, Settlement agreement, Small firms, Smes, Social norms, Stakeholder, Statutory architecture, Supreme court, Susan sturm, Task force, Third parties, Third party, Toyota production system, Trade associations, Transparency, Transparent criteria, Tripartism, Unanticipated circumstances, Vancouver stock exchange, Various canadian, Wholesale market.
• Teeft :
  • Account supervision, Account supervision case, Account supervision systems, Accountability, Accounting principles, Accounting regulation, Accounting standards, Administrative guidance, Advisor, American approach, American business, American gaap, Article parts ways, Ascribing content, Ayres, Ayres braithwaite, Bcsc, Bcsc capital markets regulation division, Behavioral analysis, Best form, Best interests, Best practice, Best practices, Better regulation, Braithwaite, British columbia, British columbia securities, Broader group, Broker, Business plan, Canadian, Canadian regulators, Capital ideas conference, Capital markets, Capital markets division, Capital markets regulation division, Chief executive, Christina wolf, Civil liability, Clara furse, Client accounts, Collaborative governance, Commissioner robin ford, Commodity futures trading commission, Compliance, Compliance context, Compliance department, Compliance indicators, Compliance practices, Compliance processes, Compliance risks, Compliance rules, Compliance staff, Compliance standards, Compliance system, Compliance systems, Conduct provisions, Continuous market access, Continuous market access approach, Corporate compliance, Corporate governance, Corporate governance industry, Corporate liability, Cosmetic compliance, Credible, Credible enforcement, Criminal code, Daily reviews, Darren sinclair, David wilson, Decision makers, Democratic experimentalism, Disclosure, Disclosure requirements, Dorf, Dorf sabel, Early years, Edward rubin, Effective mechanism, Effective ones, Effective system, Electronic records, Enforcement pyramid, Enforcement staff, Enronstyle scandal, Environmental protection, Environmental regulation, Exchange commission, Exible, Facial compliance, Factual issues, Fasb, Financial services authority, Frederick schauer, Frontline, Frontline regulator, Frontline regulators, Gaap, Good business practice, Good compliance, Good compliance processes, Good deal, Good practices, Governance, Governance approaches, Governance forum, Governance regime, Governance theory, Guidance note, Guideline, Gunningham, Gunningham sinclair, Health administration, Http, Hybrid, Hybrid system, Impact analysis, Important components, Important role, Industry action, Industry actors, Industry associations, Industry councils, Industry experience, Internal policies, Investment dealers association, Investor, Issuer, Jakab, Jakab interview, Jakab notes, Jody freeman, John braithwaite, John tiner, Large number, Legal form, Legitimacy, Liebman charles, Liebman sabel, London stock exchange, Louis kaplow, Management systems, Market actors, Market failures, Market regulation services, Material change, Material information, Member regulation notice, Michael sorbo, Minimum standards, Model shares, Monthly reviews, Moral hazard, More approach, More principles, More rule, Nance products, Nancial, National instrument, Neil gunningham, Network effects, Occupational safety, Ongoing, Ontario, Ontario securities commission, Order disgorgement, Other areas, Other forms, Other industry actors, Other stakeholders, Other words, Particular business risks, Particular cases, Particular challenges, Particular environment, Patrick dunleavy, Post costs, Preexisting rules, Prescriptive, Prescriptive rules, Principlesbased, Principlesbased approach, Principlesbased regulation, Private actors, Private placement, Product development, Professor cunningham, Proprietary systems, Prosecutorial discretion, Prospectus, Public administration, Public consultations, Public interest, Public interest powers, Public management, Reform undertakings, Regulation, Regulator, Regulatory, Regulatory action, Regulatory agenda, Regulatory approach, Regulatory approval, Regulatory burden, Regulatory discretion, Regulatory expectations, Regulatory failure, Regulatory goals, Regulatory impact analysis, Regulatory mandates, Regulatory objectives, Regulatory outcomes, Regulatory overreaching, Regulatory policy, Regulatory practice, Regulatory principle, Regulatory principles, Regulatory reform, Regulatory regime, Regulatory requirements, Regulatory rules, Regulatory standards, Regulatory structure, Regulatory systems, Regulatory tripartism, Reinventing, Reinventing government, Reinventing regulation, Responsive regulation, Risk management, Root cause analysis, Royal assent, Rulemaking, Sabel, Same time, Sandy jakab, Scam capital, Securities amendment, Securities laws, Securities legislation, Securities markets, Securities regulation, Securities regulator, Securities regulators, Securities rules, Senior management, Sept, Settlement agreement, Small firms, Smes, Social norms, Stakeholder, Statutory architecture, Supreme court, Susan sturm, Task force, Third parties, Third party, Toyota production system, Trade associations, Transparency, Transparent criteria, Tripartism, Unanticipated circumstances, Vancouver stock exchange, Various canadian, Wholesale market.

Url:

• https://api.istex.fr/document/5DC3D3FB83DA7A6486F1247B5288A27D503294B9/fulltext/pdf

DOI: 10.1111/j.1744-1714.2008.00050.x

Affiliations:

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