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- Title
A HARDER NUT TO CRACK? RESPONSIVE REGULATION IN THE FINANCIAL SERVICES SECTOR.
- Authors
SMITH, DIMITY KINGSFORD
- Abstract
The article discusses challenges regarding responsive regulation in the financial services sector which requires human relations between inspectors and the regulated firms' personnel. Financial regulators are not able to recognize, internalize, and operationalize the values of the regulatory regime in their business. It addresses weakness in prosecution, civil penalty and surveillance levels of regulation create obstacles in building regulatory relationships in finance market.
- Subjects
FINANCIAL performance; FINANCIAL services industry; INTERPERSONAL relations; PROSECUTION; CIVIL penalties; SURVEILLANCE detection; FINANCIAL markets
- Publication
University of British Columbia Law Review, 2011, Vol 44, Issue 3, p695
- ISSN
0068-1849
- Publication type
Article