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Author Kim, Junghoon, author
Title Strategies of financial regulation : divergent approaches in conduct of business regulation of mis-selling in the UK and South Korea / by Junghoon Kim
Imprint Singapore : Springer Singapore : Imprint: Palgrave Macmillan, 2020
book jacket
Descript 1 online resource (xix, 363 pages) : illustrations, digital ; 24 cm
text txt rdacontent
computer c rdamedia
online resource cr rdacarrier
text file PDF rda
Note 1. Introduction and Research Framework -- 2. Rule-Making of COB -- 3. Public Enforcement of COB -- 4. Private Enforcement of COB -- 5. Lessons and Recommendation
This book explores financial regulation, particularly regulation on misselling of over-the-counter derivatives, which has been a pressing issue in many jurisdictions since the 1990s. To do so it applies the accumulated theories of comparative law and regulations to conduct of business regulation to analyze the causes of regulatory failure and to suggest measures for improvement. Despite regular misselling disputes in over-the-counter-derivative transactions, there is a significant lack of comparative law research on financial regulation and almost none focusing on conduct of business regulation. This process also allows the validity of existing regulatory theories to be tested. The book makes a significant contribution to the academic literature in jurisdictions where the failure of the conduct of business regulations and the causes have not been sufficiently been analyzed. Junghoon Kim has been the Senior Examiner, for the Financial Supervisory Service (FSS) Korea (a governmental organization that supervises and examines financial institutions, regulates the capital market and protects financial consumers and investors) since 2007. From 2002 to 2006, he was a manager at KPMG (Global Accounting & Advisory Firm) and was involved in Basel II implementation projects in major Korean commercial banks
Host Item Springer Nature eBook
Subject Business enterprises -- Finance -- Law and legislation
Commercial law
Investment banking
Securities
Consumer protection -- Law and legislation
Business Finance
Business Law
Investments and Securities
Alt Author SpringerLink (Online service)
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