Research handbook on law and ethics in banking and finance

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書誌事項

Research handbook on law and ethics in banking and finance

edited by Costanza A. Russo, Rosa M. Lastra, William Blair

（Research handbooks in financial law）

E. Elgar, c2019

  • : cased

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Includes index

内容説明・目次

内容説明

The global financial crisis highlighted the corrosive effects of unethical behaviour within the banking industry. This edited collection focuses on the role that ethics, as well as the law, can play to prevent such behaviour from reoccurring. It also examines the effectiveness of newly introduced regulations and supervisory actions in fostering ethical conduct with the aim of realigning the interests of financiers with those of society as a whole. Featuring contributions from authors in academia, central banks, and professional practice, this Research Handbook presents a comprehensive assessment of law, regulation and professional and market standards in the financial industry. The chapters discuss the philosophical foundations of ethics in financial law, the existence of a social licence to operate and how to nudge banks to be more inclusive. They also critically evaluate some of the key topics in the debate, including fiduciary duties and enforcement measures. The Research Handbook will be of great interest to academics, policy makers and practitioners in financial law and banking law, as well as legal ethics. Those working within the financial industry with an interest in corporate conduct and culture, will find the Handbook to be an invaluable source of information.

目次

Contents: Foreword Andrew Bailey Part I The foundations of ethics in banking and finance 1. The philosophical foundations of financial ethics Kara Tan Bhala 2. Ethics and standards in financial regulation William Blair and Clara Barbiani 3. Ethical foundation of financial law Rosa M. Lastra and Marcelo J. Sheppard Part II The role played by law and standards 4. Nudging inclusive banking and micro finance towards self-sustainability Katherine Hunt, Marco Lamandini and David Ramos Muno 5. The social licence for financial markets, written standards and aspiration David Rouch 6. The Development and Implementation of Professional Standards for UK Bankers: A Practitioner Perspective Simon Thompson 7. What should we do about the law of money, finance, banks and the like? Philip R. Wood CBE, QC (Hon) 8. Rebuilding Trust in Financial Markets: beyond the Limits of Law and Regulation Mark Yallop Part III Can law counteract unethical behaviour? Some examples 9. Ethical Considerations in the Representation of Sovereign Clients Lee C. Buchheit 10. Law and Ethics: The Bank's Fiduciary Duty towards Retail Customers Ruth Plato-Shinar 11. Market timers, late traders and the ultimate insiders Basil G. Zotiades Part IV The effectiveness of regulation and supervisory actions 12. Developing the Senior Managers Regime Alan Brener 13. What makes deterrence credible? Andromachi Georgosouli 14. Breaches of AML reporting requirements by UK Bankers: Are effective enforcement choices being made by financial regulators? Miriam Goldby Part V Are financial regulators ethical? 15. Ethical Culture and Central Banking Thomas C. Baxter Jr 16. Central Banks and Ethics: the Virtual Paradox of Transparency and Confidentiality Mandates Manuel Monteagudo 17. Enforcement, ethics and transparency: problems and perspectives Costanza A Russo Index

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