Banking Regulation

Jurisdictional Comparisons
2. Auflage 2014
ISBN: 978-0-414-03536-2
Verlag: Sweet & Maxwell

Buch, Englisch, 500 Seiten

Reihe: The European Lawyer Ref Series

Banks are among the most highly regulated institutions in the country, with a large number of laws and regulations that govern their activities. Financial markets govern the world of today and regulation has become so important to the way financial markets operate especially in recent times. This publication offers a comprehensive overview of Banking Regulation across 25 jurisdictions. Topics covered include: Authorities, Regulators, Banking licenses, organisation of banks, liquidity and capital adequacy, consolidated supervision, shareholders in the acquisition of banks, resolution and bail out regimes to regulatory developments.

Leaders in the world of Banking Regulation law have come together to open the forum of commentary in this legal profession. This book should be a staple in any legal professional practising in the area of Banking Regulation.

Autoren/Hrsg.

Bosch, Rene

Fachgebiete

• Rechtswissenschaften Recht, Rechtswissenschaft Allgemein Recht mehrerer Jurisdiktionen, Synopsen
• Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)
• Rechtswissenschaften Wirtschaftsrecht Bank- und Versicherungsrecht Bank-, Sparkassen- und Börsenrecht

Inhaltsverzeichnis

1. Regulatory Framework – Overview
2. Authorities, Regulators
2.1. Supervisory Architecture – Nature, Characteristics
2.2. Lead Bank Regulators
2.3. Other Authorities
2.4. Role of Central Bank

3. Banking License
3.1. Characteristics, Nature
3.2. Regulated Activities, Scope of License
3.3. Licensing Procedure
(parties involved, nature and form of application, duration, cost, licensing decision)

4. Forms of Banks
4.1. State-owned Banks
4.2. Universal Banks Commercial and Retail Banks
4.3. Investment Banks
4.4. Private Banks
4.5. Other Banks
4.6. Regulation of SIFIs
(Systemically Important Financial Institutions)

5. Organisation of Banks
5.1. Corporate Bodies – Corporate Governance
5.2. Organisation
(Requirements, Corporate Documents, Audit Function etc)
5.3. Auditors and other Experts
5.4. Risk Management
5.5. Supervision of Management
5.6. Compensation
5.7. Special Rules for SIFIs?

6. Liquidity and Capital Adequacy
6.1. Role of International Standards (Basel III, FSB, etc)
6.2. Liquidity Requirements
6.3. Capital Adequacy Framework
6.4. Special Requirements for SIFIs

7. Consolidated Supervision
7.1. Role of Consolidated Supervision
7.2. Requirements
7.3. International Coordination and Cooperation among Regulators

8. Shareholders, Acquisitions of Banks
8.1. Reporting of Significant Shareholdings
8.2. Approval Requirements
8.3. Foreign Investments
8.4. Acquisition of Banks

9. Resolution and Bail-in Regimes
9.1. Liquidation – Legal Framework
9.2. Resolution Regime
9.3. Bail-in Regime