Relevant bibliographies by topics / Financial regulatory system

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  1. Journal articles
  2. Dissertations / Theses
  3. Books
  4. Book chapters
  5. Conference papers
  6. Reports

Academic literature on the topic 'Financial regulatory system'

Author: Grafiati
Published: 10 January 2023
Last updated: 28 January 2023

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Journal articles on the topic "Financial regulatory system"

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Metrick, Andrew, and June Rhee. "Regulatory Reform." Annual Review of Financial Economics 10, no. 1 (November 2018): 153–72. http://dx.doi.org/10.1146/annurev-financial-110217-022646.

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In the wake of the global financial crisis (GFC), many nations embarked on reform to the financial regulatory system. This reform, unprecedented in its scope, touched virtually every part of the financial system in the United States and Western Europe. This article summarizes the key reforms, explains how these reforms fit together, assesses the relevant scholarly literature, and suggests six significant areas of open questions for researchers. These six areas are ( a) liquidity rules, ( b) central clearing of swaps, ( c) shadow banking, ( d) lenders of last resort, ( e) extended guarantees, and ( f) resolution and restructuring.
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Ho, Thomas, Miguel Palacios, and Hans Stoll. "Regulatory Principles for the Financial System." Journal of Derivatives 20, no. 1 (August 31, 2012): 19–37. http://dx.doi.org/10.3905/jod.2012.20.1.019.

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Ross, Marc L. "Regulatory Principles for the Financial System." CFA Digest 42, no. 4 (November 2012): 75–76. http://dx.doi.org/10.2469/dig.v42.n4.74.

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Kroszner, Randall S., and Philip E. Strahan. "Financial Regulatory Reform: Challenges Ahead." American Economic Review 101, no. 3 (May 1, 2011): 242–46. http://dx.doi.org/10.1257/aer.101.3.242.

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Today's financial system is dominated by markets with institutions connected by short-term financing, securitization, derivatives, and other means. Yet regulations have focused on depositories, leaving regulators unprepared for the 2008 crisis. We suggest two key principles for regulatory reform. First, some changes in the financial system came as institutions lowered the burden of regulations through “regulatory arbitrage.” Reform needs to avoid driving businesses “into the shadows,” where risks may accumulate and sow seeds of future crises. Second, reform ought to improve transparency to reduce uncertainty and inter-linkages between players. We evaluate some of Dodd-Frank Act in light of these principles.
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Yu, Hao. "Research on the Construction of Financial Technology "Regulatory Sandbox" Testing Consumer Loss Compensation System." Frontiers in Humanities and Social Sciences 2, no. 8 (August 20, 2022): 76–86. http://dx.doi.org/10.54691/fhss.v2i8.1660.

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Fintech "regulatory sandbox" refers to a "trial and error" regulatory mode in which financial innovative products or services audited by financial regulators can conduct business tests in a real or simulated environment within a certain time and scope. After passing the test, they can be fully promoted to the financial market and included in the normal regulatory scope. Consumer protection is an important part of the design of the "regulatory sandbox". Perfect and appropriate consumer protection measures are conducive to enhancing the confidence of financial consumers, promoting the maximization of the effectiveness of the "regulatory sandbox", helping regulators collect fintech data and improve fintech regulation. Financial consumer protection should run through the pre event stage, in-process stage and post event stage of the "regulatory sandbox", that is, the compensation and compensation for the damage to consumers' rights and interests. In order to better protect the rights and interests of consumers and ensure financial efficiency and financial security, China should pay special attention to the construction of the "regulatory sandbox" test consumer loss compensation rules and systems in the construction of the "regulatory sandbox" legal system, and combine it with China's legislative practice, through the provisions of the obligation to inform consumers of their rights and risks in the test, the establishment of the sandbox test financial consumer protection special fund The establishment of financial consumer compensation insurance system and the establishment of a complete relief mechanism to effectively protect the right to test consumers' property security and the right to claim compensation according to law.
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Hogan, Warren, and Ian G. Sharpe. "Financial System Reform: Regulatory Structure, Financial Safety, Systemic Stability and Competition Policy." Economic and Labour Relations Review 8, no. 2 (December 1997): 318–32. http://dx.doi.org/10.1177/103530469700800209.

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The paper provides an assessment of the recommendations of the Financial System Inquiry and the Government's reform proposals relating to the regulatory structure, financial safety and the mega-prudential regulator, systemic stability, and competition policy in the financial sector. It is argued that key reform proposals are based on explicit or implicit assumptions relating to the workings of financial markets and institutions. The Report fails to test those assumptions against contemporary and prospective circumstances to determine the practical worth of the recommendations.
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Walter, Andrew. "From developmental to regulatory state? Japan's new financial regulatory system." Pacific Review 19, no. 4 (December 2006): 405–28. http://dx.doi.org/10.1080/09512740600984507.

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Tikhonov, A. O., and I. V. Yuzefalchik. "Digitalization of the monetary-credit system: institutional and regulative aspects." Russian Journal of Economics and Law 15, no. 4 (December 16, 2021): 713–30. http://dx.doi.org/10.21202/2782-2923.2021.4.713-730.

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Objective: to consider the institutional and regulatory aspects of digitalization, to reveal the institutional features of the digital monetary-credit system, to classify the digitalization models, to describe the phenomenon of the central bank digital currencies, to consider the main trends in the regulation development, and to propose improvements in the monetary systems regulation.Methods: methods of systematization, classification, analysis and synthesis were used in the work.Results: it was shown that the monetary systems digitalization is characterized by signifi changes not only in the organizational and technological aspects, but also in the institutional and regulatory ones. They affect both the functioning features of the monetary system subjects and the methods of conducting operations, as well as the role and tasks of the financial regulators. It is marked that the monetary system long-term institutional development is characterized by the formation of a new digital investment and finance space, which is expressed in the change in the transaction costs structure, the formation of new institutional qualities of the monetary system, the emergence of new types of risks, the transformation of the existing and emergence of new players, due to the active introduction of digital financial technologies. The influence of digital transformation models on changes in the regulatory environment is analyzed, which implies a change in both approaches to regulating the activities of financial service providers and the role of regulators. The main models of monetary systems regulation are also analyzed.Scientific novelty: consists in identifying and systematizing the main institutional aspects of digital currencies development and determining the digital image of the financial and credit sector of the economy. As a result of the study, the main measures aimed at managing the process of monetary systems digitalization are formulated.Practical significance: the main proposals based on the study results can be used by financial regulators in the development of measures for the financial market development and the monetary system digitalization; systematization of regulatory models and digitalization models can be used by higher educational institutions to design the appropriate programs for retraining and advanced training of specialists in the field of finance.
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Schmulow, Andrew, Karen Fairweather, and John Tarrant. "Restoring Confidence in Consumer Financial Protection Regulation in Australia: A Sisyphean Task?" Federal Law Review 47, no. 1 (February 1, 2019): 91–120. http://dx.doi.org/10.1177/0067205x18816240.

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Consumer financial protection and the integrity of the Australian financial system are critical to the Australian economy in many ways, including the provision of an effective banking system, and the security of Australia’s significant superannuation savings. This is especially the case in an environment where financial products have become more complex and difficult for consumers to understand. In recent years there have been several scandals in Australia’s financial sector that have undermined confidence in the financial system, and exposed regulatory failure. The authors argue that there needs to be a more effective oversight of the key regulators in the Australian financial system to maintain confidence in the system, and prevent capture of the regulators by the financial services industry. The authors contend that the recommendation of the Financial System Inquiry for the establishment of an Assessment Board to provide continuous oversight of the financial regulators is an effective solution to the poor regulatory outcomes encountered in Australia in recent years. The consequences of not having such oversight are likely to be more financial scandals, and further instability in the financial system. These deficiencies must be addressed as a matter of urgency.
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Azarenkova, Galyna, Iryna Shkodina, Borys Samorodov, Maksym Babenko, and Iryna Onishchenko. "The influence of financial technologies on the global financial system stability." Investment Management and Financial Innovations 15, no. 4 (November 28, 2018): 229–38. http://dx.doi.org/10.21511/imfi.15(4).2018.19.

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The analysis of the financial technologies introduction has proved that their application over-complicates the institutional structure of the global financial system. As a result, usual functional relationships cease to operate, new institutes and interdependencies appear, and systemic risks increase. In this context, the system instability increases, resulting in a transition to a new institutional status. The analysis of the financial technologies impact on the stability of financial system shows that the lack of institutional support for new financial technologies is the most important catalyst for the financial industry destabilization and the formation of financial bubbles in various market segments.The ways to reduce the negative impact of financial technologies on the financial system stability (such as development of international prudential standards; revision of the licensing regime for financial companies; “regulatory sandboxes”, which test new technologies, business models and algorithms underlying the Fintech innovations; legal regulation of ownership of digital tokens; and clear definition of the blockchain technology in various areas of life, etc.) have been proposed.
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Dissertations / Theses on the topic "Financial regulatory system"

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Thani, Nik Norzrul. "Legal aspects of the regulatory framework of the Malaysian financial system." Thesis, SOAS, University of London, 1993. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.243857.

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Sasraku, Francis M. "Regulatory Structures and Bank –Level Risk Management in Ghanaian Banks." Thesis, University of Bradford, 2015. http://hdl.handle.net/10454/15021.

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This research examines the impact of certain bank-specific variables on bank stability in Ghana, in the context of the existing regulatory structures. The thesis examines this issue along two main themes. The first part of this study examines whether two of the commonly used measures of banking stability, the CAMELS and the Z-Score, provide similar or different results in assessing the stability of banks in Ghana. The results of this study show that the use of the CAMELS and the Z-score measures could lead to different outcomes in terms of bank stability in Ghana. This suggests that the traditional micro-prudential CAMELS framework should be complemented with the Z-score which inherently has both micro and macro-prudential characteristics of signaling weaknesses in bank stability, and to enhance the management of bank stability. The second part of the study examines the impact of some bank-specific variables on bank stability. Using the panel data approach, the results show that while bank size, regulatory governance, regulatory independence and origin impact significantly on the stability score, there was no significant impact in terms of interbank borrowing and non-performing loans. Further analysis using the Blinder –Oaxaca decomposition also suggests that foreign banks in Ghana exhibit relatively higher levels of stability compared to local banks. The policy implications of these findings suggest that the liberalisation of the banking sector should be accompanied by an effective micro- and macro-prudential supervisory regime in order to manage the stability of the constituent banks and the banking sector as a whole.
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Atbani, Fasial. "Financial Risks in Islamic Banking System and regulatory Role of the New Basel Accord." Thesis, University of London, 2007. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.498533.

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Д`яконова, Ірина Іванівна, Ирина Ивановна Дьяконова, Iryna Ivanivna Diakonova, and T. Scherbina. "Regulatory framework in emerging markets: outlining the crisis impact." Thesis, Українська академія банківської справи Національного банку України, 2012. http://essuir.sumdu.edu.ua/handle/123456789/63365.

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For the past few years the financial sector in many countries has undergone significant transformations that affected the activities of financial regulators. To ensure the efficiency of the financial sector in the context of the new financial architecture it’s useful to study the foreign experience of financial systems supervision organization.
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Pittermannová, Eva. "Vybrané problémy amerického finančního trhu v kontextu finanční krize." Master's thesis, Vysoká škola ekonomická v Praze, 2012. http://www.nusl.cz/ntk/nusl-124879.

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This thesis concerned with certain problems in the U.S. financial market during the financial crisis. In the theoretical part of this thesis, I deal with the formation of U.S. banking and regulation and supervision until its present form. In this part of the work are described in detail circumstances that lead to foundation of the Federal Reserve system, and also the origins of Great Depression. The practical part is focused on the analysis of the causes of the global financial crisis. Especially the U.S. real estate market, asset securitization and credit rating agencies. In the final part of this work are described in detail the measures taken by the U.S. government in the form of law "Dodd-Frank Wall Street Reform and Consumer Protection Act".
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Мазуров, А. В. "Адміністративно-правовий статус Державної регуляторної служби України, як суб’єкта управління фінансовою системою України." Master's thesis, Сумський державний університет, 2018. http://essuir.sumdu.edu.ua/handle/123456789/71680.

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В умовах економічної нестабільності, обумовленої існуючими політико-правовими факторами, гостро постає потреба в сталому й ефективному функціонуванні всіх її елементів, за для дієвої протидії будь-яким загрозам. Однією з таких складових, безумовно, є фінансова система, належне управління якою є вагомою передумовою для стабільного економічного зростання й соціального розвитку будь-якої країни. Адже, не викликає сумніву та обставина, що саме завдяки ефективній управлінській діяльності можливе досягнення високих показників у будь-якій сфері суспільних відносин. Тому, очевидно, що виникає необхідність в існуванні інструментів для постійного й дієвого управління фінансовою системою. Серед таких засобів особлива роль відводиться регуляторній політиці та, відповідно, Державній регуляторній службі України, яка безпосередньо її реалізує. Адже саме від якісного виконання нею своїх завдань частково залежить успіх в забезпеченні належного функціонування фінансової системи.
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Addo, Baidoo Samuel Edwin. "Regulatory Effects on Traditional Financial Systems Versus Blockchain and Emerging Financial Systems." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/7109.

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The expansion of the Internet led to disruptive business and consumer processes, as existing regulations do not cover the scope and scale of emerging financial technologies. Using organization economic theory as the foundation, the purpose of this correlational study was to examine and compare the financial regulatory impact on traditional and emerging financial systems across a variety of factors including organizational type, predicted users, operational concerns, reasons for cost increases, and changes in business practices as a result of the regulatory environment. Data were collected through a survey of 227 adult Americans who engage in the financial sector and are familiar with the US regulatory environment. Data were analyzed using descriptive statistics, cross tabulations, and statistical significance was tested using Lambda and Kendall's Tau c. The key finding of this study is that the effects of regulations are different for the traditional and emerging financial systems, showing the need to develop and implement policies that are context specific to the emerging financial systems. The recommendations from the study include suggestions to regulatory agencies to regulate and support emerging financial systems in line with new technology that envisions efficiency and economic fairness. The positive social change implications for this study include the development of a strategy that can ensure economic stability, reduce irregularities, and strengthen investments with a view of protecting the financial system from breakdown.
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Tay, Joanne Siok Wan. "Corporate financial reporting : regulatory systems and comparability." Thesis, University of Exeter, 1989. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.386247.

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Alissa, Arwa. "Islamic mortgages : a comparative study to improve the legal and financial system of mortgages in the Royal Kingdom of Saudi Arabia with a regulatory analysis of the US and UK, and case analyses of the UK, Sharjah, Dubai and Saudi Arabia." Thesis, University of Westminster, 2018. https://westminsterresearch.westminster.ac.uk/item/q8q83/islamic-mortgages-a-comparative-study-to-improve-the-legal-and-financial-system-of-mortgages-in-the-royal-kingdom-of-saudi-arabia-with-a-regulatory-analysis-of-the-us-and-uk-and-case-analyses-of-the.

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This research is the first comprehensive critical evaluation of the ways in which Islamic mortgages can be developed and executed in a Sharia compliant manner in order to boost the development of housing markets primarily in Saudi Arabia, with regulatory analyses of securitisation in the US and EU, and case analyses of the UK, Sharjah, and Dubai. The regulatory analyses of securitization show how the excesses of modern financial legal techniques to greatly expand opportunistic developments of mortgagebacked markets led to market failures, and that such market failure could be avoided by the use of Islamic finance principles. These case analyses have been selected to provide a spectrum of different socio-economic contexts in which to compare the Saudi Arabian system. The study also engages in the examination of the Western and Islamic legal systems and their impact on mortgaging and securitisation theory and practice. Securitisation, namely the activity involving the packaging, dividing and selling of mortgages in the primary market has in recent years become a well-established business process (with banking, financing and legal implications and aspects) for enhancing home financing and home ownership in the USA, the UK and Western Europe, all of which are subject to common law contractual processes. However, it would be natural to suppose that further development of the Saudi Arabian and other Islamic legal systems would include securitisation techniques in the near future. Indeed, certain Islamic finance structures lend themselves to securitisation processes which are investigated in depth in this work. Banking and financial activities in the Islamic countries are however governed by a mix of conventional practice, common law and Islamic law, with variations occurring in the same between different jurisdictions. This study aims to engage in a detailed comparison of the conventional (Western) banking system and the banking procedures and processes followed in Islamic jurisdictions in order to develop and recommend a standardized securitisation system for mortgages, which draws upon the best of western regulations and practices and is yet compliant with Islamic law, i.e. the Sharia. The Western banking system is based upon intermediation between entities that have money and ones that need to use it, the charging of interest and a rational decisionmaking process between banks and their clients. The Islamic system on the other hand is governed by Islamic law, which prohibits interest, speculation and any type of activity that is perceived to be oppressive. It recommends close partnerships between bankers andclients, rather than short-term transactional utility. The establishment of common ground between these two systems is undoubtedly a challenging task, particularly because of the differences in the interpretation of religious law by different clerics. This study however points out that significant common ground can be established if standardisation of legal practices and bank policies can be achieved in Islamic countries. The development of high levels of standardisation will help in the creation of securitisation processes for housing mortgages that are Sharia compliant and thus satisfy two important objectives, namely religious requirements and the expansion of the housing market.
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Chevais, Sébastien. "Analyse et evolution du systeme bancaire chinois face à la crise : sa stratégie dans un dispositif global de conquête economique et politique." Thesis, Paris Sciences et Lettres (ComUE), 2018. http://www.theses.fr/2018PSLEH013.

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La Chine a fait le pari de s’ouvrir au monde, à cette mondialisation, dans laquelle règne une grande disharmonie. Aujourd’hui, la mise en œuvre du socialisme, aux couleurs chinoises, s’inscrit dans un processus beaucoup plus global, fondé sur la promotion de la culture chinoise. Deng Xiaoping, le premier, avait, en 1979, libéré l’initiative de chaque citoyen Chinois, avec sa fameuse expression « Enrichissez-vous ! ». Le rêve pour tous les chinois de pouvoir entrevoir une réussite sociale et matérielle devenait donc palpable. Le lancement par la Chine d’un programme d’envergure dans la recherche et le développement technologique, assure à ses industries un socle qui reste aujourd’hui une priorité stratégique de l’Etat - Parti, libère les énergies et crée les conditions de son ouverture au reste du monde. Le « rêve chinois », expression lancée par le nouveau président Xi Jinping, en 2013, lors de son accession au pouvoir suprême, sonne comme un rappel utopique à l’imaginaire de tout son peuple et revêt une portée symbolique face à une Amérique, fondamentalement attachée à son célèbre « rêve américain ». Notre étude porte sur le rôle du système bancaire chinois et sur son évolution. Son particularisme nous permettra de comprendre dans quelle mesure il constitue un moyen pour la Chine de mettre en œuvre son propre développement économique et financier. Mon travail s’est appuyé sur les nombreux ouvrages et articles cités dans la bibliographie. Cette recherche a été enrichie par les différentes conférences auxquelles j’ai pu assister et par la réalisation d’interviews auprès de banquiers, d’économistes, d’universitaires et d’acteurs reconnus du monde industriel. Dans un premier temps, nous dresserons un indispensable rappel historique pour mieux comprendre les choix politiques d’une Chine qui va finir par défendre avec fermeté ses intérêts, à la fois sur la scène régionale et internationale. Nous focaliserons par la suite notre attention sur la construction et le processus de décision de son système bancaire, au service de sa croissance, et, enfin, nous élargirons notre propos et tenterons de démontrer de quelle manière les fonds d’Etats répondent à la mission qui leur est donnée : financer les ambitions économiques de la Chine et conforter son rôle central dans l’économie mondiale. En trois décennies à peine, la Chine, reléguée auparavant dans un statut de nation sous-développée, s’est élevée au rang de première puissance industrielle et commerciale. Elle est, aujourd’hui, la seconde économie du monde. Nulle part, dans l’histoire, une nation, dans un temps aussi court, n’aura été en mesure de remettre en cause les équilibres internationaux, bouleversant l’actuel paradigme de la hiérarchie des grandes puissances. Dans cette perspective, la question des vrais objectifs de la Chine semble être pertinente et ceci à chaque étape de ses réformes. Une telle puissance financière interpelle et inquiète, lorsque, en quelques années, elle a enregistré une forte inflation de ses investissements à l’étranger. En effet, les banques d’Etat chinoises jouent un rôle pivot dans la gouvernance financière des entreprises d’Etat, plus globalement dans le seul but du développement durable de l’économie chinoise pour édifier son propre système de conquête économique. La Chine souhaite-t-elle vraiment atteindre les standards du système de régulation international ? La Chine est-elle en train par ses choix déterminants, de tracer sa propre voie ? Tout l’effort de cet Etat vise à reconstruire la puissance économique et financière, sans laquelle ne peut se matérialiser efficacement son influence politique et lui offrir son prestige du passé
China has made the bet to open up to the world, to this globalization, in which there is a great disharmony. Today, the implementation of socialism, with Chinese colors, is part of a much more global process, based on the promotion of Chinese culture. Deng Xiaoping, the first, in 1979, released the initiative of every Chinese citizen, with his famous expression " Enrich yourself ! ". The dream for all Chinese to be able to glimpse a social and material success became palpable.The launch by China of a major program in research and technological development, ensures its industries a base that remains today a strategic priority of the State Party, releases the energies and creates the conditions of its opening to the rest of the world. The "Chinese Dream", an expression launched by the new President Xi Jinping in 2013, when he ascended to supreme power, sounds like an utopian reminder to the imagination of all his people and has a symbolic significance in front of an America, fundamentally attached to his famous "American Dream". Our study focuses on the role of the Chinese banking system and its evolution. Its particularity will allow us to understand in what extent it constitutes a means for China to implement its own economic and financial development. My work was based on the many books and articles cited in the bibliography. This research was enriched by the various conferences I attended and by conducting interviews with bankers, economists, academics and recognized industry players. At a first step, we will draw an essential historical reminder to better understand the political choices of a China that will finish to defend stongly its interests, at the same time on the regional and international level. Then, we will focalize our attention upon the construction and the process of its banking system, for its growth. Endly,we will expand our discusion and try to demonstrate how the state funds respond to the mission. given to them: to finance China's economic ambitions and consolidate its central role in the global economy. In three decades, China, previously relegated to underdeveloped nation status, has risen to the rank of the first industrial and commercial power. It is today the second largest economy in the world. Nowhere in history has a nation, in such a short time, been able to question international balance, to change completly the current paradigm of the hierarchy of the great powers. In this perspective, the question of the true objectives of China seems to be relevant and this at each stage of its reforms. Such a financial power questions and worries when, in a few years, it has recorded a high inflation of its investments abroad. Indeed, Chinese state-owned banks play a principal role in the financial governance of state-owned enterprises, more generally for the only purpose of the sustainable development of the Chinese economy to build its own system of economic conquest. Does China really want to reach the standards of the international regulatory system ? Is China in the process of determining its own path through its decisive choices ? The whole effort of this state aims to rebuild the economic and financial power, without which its political influence can not be effectively realized and offer it its prestige of the past
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Books on the topic "Financial regulatory system"

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Buckley, Ross P. From crisis to crisis: The global financial system and regulatory failure. Alphen aan den Rijn: Kluwer Law International, 2011.

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Franks, Julian R. The costs and effectiveness of the UK financial regulatory system. London: Corporation of London, 1993.

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Congressional Oversight Panel special report on regulatory reform: Modernizing the American financial regulatory system : recommendations for improving oversight, protecting consumers, and ensuring stability. Washington: U.S. G.P.O., 2009.

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Das, Udaibir S. Does regulatory governance matter for financial system stability?: An empirical analysis. [Washington D.C.]: International Monetary Fund, Monetary and Financial Systems Dept., 2004.

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Board, Securities and Investments. Report to the Chancellor on the reform of the financial regulatory system. London: Securities and Investments Board, 1997.

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The administration's proposal to modernize the financial regulatory system: Hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on examining the administration's proposal to modernize the financial regulatory system, June 18, 2009. Washington: U.S. G.P.O., 2010.

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United States. Government Accountability Office. and Group of Thirty, eds. Modernizing the U.S. financial regulatory system: Hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on the Government Accountability Office's framework for assessing proposals to modernize the U.S. financial regulatory system and the Group of 30's recent report on creating a framework for financial stability, February 4, 2009. Washington: U.S. G.P.O., 2009.

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United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Modernizing the U.S. financial regulatory system: Hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, second session, on the Government Accountability Office's framework for assessing proposals to modernize the U.S. financial regulatory system and the Group of 30's recent report on creating a framework for financial stability, February 4, 2009. Washington: U.S. G.P.O., 2009.

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United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Modernizing the U.S. financial regulatory system: Hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, second session, on the Government Accountability Office's framework for assessing proposals to modernize the U.S. financial regulatory system and the Group of 30's recent report on creating a framework for financial stability, February 4, 2009. Washington: U.S. G.P.O., 2009.

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Regulatory restructuring and reform of the financial system: Hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Tenth Congress, second session, October 21, 2008. Washington: U.S. G.P.O., 2009.

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Book chapters on the topic "Financial regulatory system"

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Kane, Edward J. "Defective Regulatory Incentives and the Bush Initiative." In Restructuring the American Financial System, 117–27. Dordrecht: Springer Netherlands, 1990. http://dx.doi.org/10.1007/978-94-009-2197-9_8.

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England, Catherine. "Designing a Regulatory Structure for the Next Sixty Years." In Stability in the Financial System, 245–68. London: Palgrave Macmillan UK, 1996. http://dx.doi.org/10.1007/978-1-349-24767-7_11.

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Barth, James R., and R. Dan Brumbaugh. "The Changing World of Banking: Setting the Regulatory Agenda." In Stability in the Financial System, 273–343. London: Palgrave Macmillan UK, 1996. http://dx.doi.org/10.1007/978-1-349-24767-7_13.

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Kaufman, George G. "Purpose and Operation of the Shadow Financial Regulatory Committee." In Restructuring the American Financial System, 1–7. Dordrecht: Springer Netherlands, 1990. http://dx.doi.org/10.1007/978-94-009-2197-9_1.

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Goodhart, C. A. E. "The Regulatory Debate in London (1988)." In The Central Bank and the Financial System, 430–39. London: Palgrave Macmillan UK, 1995. http://dx.doi.org/10.1057/9780230379152_18.

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Ba, Shusong. "On Financial Regulatory System Reforms from the Perspective of Financial Structure." In The New Cycle and New Finance in China, 351–65. Singapore: Springer Singapore, 2022. http://dx.doi.org/10.1007/978-981-16-8209-4_44.

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Eisenbeis, Robert A. "Restructuring Banking: The Shadow Financial Regulatory Committee’s Program for Banking Reform." In Restructuring the American Financial System, 23–34. Dordrecht: Springer Netherlands, 1990. http://dx.doi.org/10.1007/978-94-009-2197-9_3.

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Edwards, Franklin R. "Regulatory Reform of Securities and Futures Markets: Two Years After the Crash." In Restructuring the American Financial System, 135–48. Dordrecht: Springer Netherlands, 1990. http://dx.doi.org/10.1007/978-94-009-2197-9_10.

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Beker, Victor A. "The shadow banking system and the post-2007–2009 regulatory reform." In Preventing the Next Financial Crisis, 36–47. Milton Park, Abingdon, Oxon; New York, NY : Routledge,: Routledge, 2021. http://dx.doi.org/10.4324/9781003039686-4.

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Gola, Carlo, and Alessandro Roselli. "The New Regulatory Framework: The Financial Services Authority." In The UK Banking System and Its Regulatory and Supervisory Framework, 133–64. London: Palgrave Macmillan UK, 2009. http://dx.doi.org/10.1057/9780230235779_8.

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Conference papers on the topic "Financial regulatory system"

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Ciğerci, İsmail, and Cem Gökce. "Financial Regulation in Achieving Financial Stability: Selected EU Countries and Turkey Comparison." In International Conference on Eurasian Economies. Eurasian Economists Association, 2014. http://dx.doi.org/10.36880/c05.01086.

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Financial stability means the stability in payment systems and also means resistance against shocks in financial markets and in foundations being active in such markets. Stability in financial markets usually brings along the financial system’s stable action, accordingly the allocation of sources in economy in a productive way and the management and distribution of risks in a suitable way. It is, however, a certain fact that financial instability causes important problems in economy. Such instabilities cause financial crisis and so, high costs of the financial crisis emphasizes the importance of financial stability. One of the most common methods used to prevent financial instability is the ‘’financial regulation’’. Financial regulations are the rules and limitations laid down by the public to the financial spies’ economic decisions and actions in order to increase its own social purpose function. Financial regulatory services are composed of three parts: to observe the actions of financial foundations, to discipline them, and to coordinating them. Since financial markets are of more importance in economy comparing to other markets, financial regulation is different from the other regulations as well. The purpose of the financial regulation implemented for the financial markets is to equalize the distribution of the data owned by individuals who are transacting in the financial system. In this research, the importance of financial regulations in achieving financial stability is being emphasized and selected-EU countries and Turkey will be compared.
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Gozman, Daniel, and Wendy Currie. "Managing Governance, Risk, and Compliance for Post-crisis Regulatory Change: A Model of IS Capabilities for Financial Organizations." In 2015 48th Hawaii International Conference on System Sciences (HICSS). IEEE, 2015. http://dx.doi.org/10.1109/hicss.2015.555.

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Hayes, Jan, Lynne Chester, and Dolruedee Kramnaimuang King. "Is Public Safety Impacted by the Multiple Regulatory Regimes for Gas Pipelines and Networks?" In 2018 12th International Pipeline Conference. American Society of Mechanical Engineers, 2018. http://dx.doi.org/10.1115/ipc2018-78160.

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Gas pipelines and networks are subject to multiple regulatory governance arrangements. One regime is economic regulation which is designed to ensure fair access to gas markets and emulate the price pressures of competition in a sector dominated by a few companies. Another regime is technical regulation which is designed to ensure pipeline system integrity is sufficient for the purposes of public safety, environmental protection and physical security of supply. As was highlighted in analysis of the San Bruno pipeline failure, these two regulatory regimes have substantially different orientations towards expenditure on things such as maintenance and inspection which ultimately impact public safety. Drawing on more than 50 interviews, document review and case studies of specific price determinations, we have investigated the extent to which these two regulatory regimes as enacted in Australia may conflict, and particularly whether economic regulation influences long-term public safety outcomes. We also draw on a comparison with how similar regulatory requirements are enacted in the United Kingdom (UK). Analysis shows that the overall orientation towards risk varies between the two regimes. The technical regulatory regime is a typical goal-setting style of risk governance with an overarching requirement that ‘reasonably practicable’ measures are put in place to minimize risk to the public. In contrast, the incentive-based economic regulatory regime requires that expenditure should be ‘efficient’ to warrant inclusion in the determination of acceptable charges to customers. How safety is considered within this remains an open question. Best practice in performance-based safety regimes such as those used in the UK and Australia require that regulators adopt an attitude towards companies based on the principle of ‘trust but verify’ as, generally speaking, all parties aim for the common goal of no accidents. Equally, in jurisdictions that favor prescriptive safety requirements such as the United States (US) the common goal remains. In contrast, stakeholders in the economic regulatory regime have significantly diverse interests; companies seek to maximize their individual financial returns and regulators seek to exert downward price pressures. We argue that these differences in the two regulatory regimes are significant for the management of public safety risk and conclude that minimizing risk to the public from a major pipeline failure would be better served by the economic regulatory regime’s separate consideration of safety-related from other expenditure and informed by the technical regulator’s view of safety.
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Donev, Blagica. "MACROECONOMIC AND MACRO-FINANCIAL FACTORS OF THE STABILITY OF THE BANKING SECTOR - THE CASE OF THE REPUBLIC OF NORTH MACEDONIA." In Economic and Business Trends Shaping the Future. Ss Cyril and Methodius University, Faculty of Economics-Skopje, 2021. http://dx.doi.org/10.47063/ebtsf.2021.0022.

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Banks, as financial institutions, play a vital role in achieving financial stability and economic growth, with their expected contribution through mobilization and allocation of financial resources throughout the economy. Only a reliable and stable banking system that enjoys the trust of economic entities can be an effective intermediary of the resources of the national economy in order to intensify economic development. The role of banks is even more important for developing economies with underdeveloped capital markets. The banking sector is still the primary form of financial intermediation in the Republic of North Macedonia. The study examine the stability of the banking sector in North Macedonia, and explores the macroeconomic, macro financial factors behind stability indicators of banking sector functioning in North Macedonia over the 1996- 2017 period by employing correlations and multiple linear regression model. Results of the analysis showed that macroeconomic factors are not affecting selected bank stability indicators: NPL and capital adequacy. In addition, macro-financial factors (that include the specific determinants of the banking sector that relate to the size, structure, efficiency of the banking sector, competition) are affecting indicators and can be shown to be reliable early warning indicators. There is a broad consensus that strong and effective micro- and macroprudential policies are needed to assure a robust and resilient financial system. Author’s recommendation is implementation regulatory framework and construction of legal, institutional, regulatory landscape for macro-prudential regulation and policies, that act complementing to microprudential and macroeconomic policies, that have an impact on systemic financial stability.
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Kati'e Hashim, Saddam. ""The impact of the regulatory environment and the quality of accounting information in narrowing the quality of expectations, the performance and responsibility of the auditor "." In 11th International Conference of Economic and Administrative Reform: Necessities and Challenges. University of Human Development, 2022. http://dx.doi.org/10.21928/icearnc/4.

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"The acceleration of changes in the global economy has made it necessary for economic units to take into account the regulatory environment and develop it in a manner appropriate to the developments taking place, including the search for systems that meet the achievement of quality information in general and accounting information in particular, in order to take appropriate decisions from management on the one hand, and investors and stakeholders in units On the other hand, to determine their investment decisions or not, which is provided by the auditor through his examination of the financial statements and accounting records in order to give an opinion on the fairness of the financial statements and accounts and their compliance with Generally Accepted Accounting Principles GAAP or International Financial Reporting Standards Financial Reporting Standards IFRS, Through his annual report, which is based on the existence of an effective internal control system. Which is reflected in narrowing the expectations gap between what users expect of the financial statements from the results of the audit process for the activities of the economic unit, in contrast to the effort made by the auditor based on relevant and scientific standards approved, and the convergence of the two parties’ views in reading the reality of the financial position, and in a way that serves the regulatory environment In the economic unit to provide the best in the field of business in the economy and competition. The research methodology centers on the importance of identifying a sound regulatory environment that is effective in producing quality accounting information and its impact on narrowing the lack of expectations in the performance of the auditor and his lack of responsibility more than the specific responsibilities due to his failure to exercise the necessary professional care "
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Kati'e Hashim, Saddam. ""The impact of the regulatory environment and the quality of accounting information in narrowing the quality of expectations, the performance and responsibility of the auditor "." In 11th International Conference of Economic and Administrative Reform: Necessities and Challenges. University of Human Development, 2022. http://dx.doi.org/10.21928/uhdicearnc/4.

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"The acceleration of changes in the global economy has made it necessary for economic units to take into account the regulatory environment and develop it in a manner appropriate to the developments taking place, including the search for systems that meet the achievement of quality information in general and accounting information in particular, in order to take appropriate decisions from management on the one hand, and investors and stakeholders in units On the other hand, to determine their investment decisions or not, which is provided by the auditor through his examination of the financial statements and accounting records in order to give an opinion on the fairness of the financial statements and accounts and their compliance with Generally Accepted Accounting Principles GAAP or International Financial Reporting Standards Financial Reporting Standards IFRS, Through his annual report, which is based on the existence of an effective internal control system. Which is reflected in narrowing the expectations gap between what users expect of the financial statements from the results of the audit process for the activities of the economic unit, in contrast to the effort made by the auditor based on relevant and scientific standards approved, and the convergence of the two parties’ views in reading the reality of the financial position, and in a way that serves the regulatory environment In the economic unit to provide the best in the field of business in the economy and competition. The research methodology centers on the importance of identifying a sound regulatory environment that is effective in producing quality accounting information and its impact on narrowing the lack of expectations in the performance of the auditor and his lack of responsibility more than the specific responsibilities due to his failure to exercise the necessary professional care "
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Japarova, Damira. "Diagnostics of Financing the System of Public Health in the Kyrgyzstan Republic and its Modernization." In International Conference on Eurasian Economies. Eurasian Economists Association, 2020. http://dx.doi.org/10.36880/c12.02378.

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Despite the multi-channel resources, the financial sources of state health programs do not cover the needs of their implementation in the Kyrgyz Republic. The residual principle of health financing keeps unchanged and the amount of financing does not match the real health needs. The variety of problems in financing, the ambiguity of their positive practical solutions and controversy of theoretical aspects makes the research topic particularly relevant. No funds are allocated for prevention, and this type of medical service remains formally, just on paper. The main drawback of compulsory health insurance is the lack of forms for the insured patient to participate in the economic system of insurance relations. In this connection, it is relevant to develop a mechanism for attracting additional sources of financing. To increase the interest of commercial structure to this structure, it is proposed to introduce personalized accounting of compulsory medical insurance. Informal payments in medicine shouldn’t be considered as a “bribe”, since this type of payment for medical services acts as an addition to the market price in the absence of an adequate regulatory mechanism by the state, and it is impossible to cancel such a mechanism. The only way to formalize them is legalization. Revenues from paid services should be the source of the own fund of health organizations and used primarily to increase the salaries of medical workers.
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Ferreira, Doneivan F., and Saul B. Suslick. "The Application of Bonding Mechanisms for Environmental Compliance and Its Economic Impacts on Oil Projects." In ASME 2002 Engineering Technology Conference on Energy. ASMEDC, 2002. http://dx.doi.org/10.1115/etce2002/ee-29143.

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The present paper describes the financial assurance system (bonding system), an incentive approach being adopted by several countries to guarantee or fund environmental obligations and ensure environmental performance. Environmental compliance involves meeting all end-of-leasing obligations, including closure and decommissioning operations. This paper also identifies the main forms of potential environmental damages resulting from upstream activities and their potential financial impact on the regulatory agency. It will be demonstrated how bonding instruments may help reduce such risks by: (1) providing financial incentive for environmental compliance; (2) safeguarding government and taxpayers by attaining reasonable protection from default at a minimum increase in project costs; and (3) protecting the environment from potential harm resulting from failure to carryout proper closure operations in a timely fashion. A model is proposed for a hypothetical scenario and an analysis is performed in order to identify potential financial impacts on oil projects.
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Kolev1, Svilen. "The COVID-19 Challenge and the Sustainability of the Bulgarian Banking Sector." In 7th International Scientific Conference ERAZ - Knowledge Based Sustainable Development. Association of Economists and Managers of the Balkans, Belgrade, Serbia, 2021. http://dx.doi.org/10.31410/eraz.2021.43.

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The paper examines the effects and the challenges posed by the COVID-19 pandemic on the banking sector in Bulgaria. The research describes the response from the global and European regulatory author­ities. An emphasis is placed on the national regulatory measures and the condition of the banking system in Bulgaria. Financial soundness and sus­tainability indicators about the banks operating in Bulgaria on aggregate basis are analyzed. The recent developments regarding the position of the banking sector and lending dynamics are also viewed. Conclusions and a brief discussion about possible future challenges and prospects are made, in terms of a potential subsiding of COVID-19.
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Barbosa, Fábio C. "Competition Into Brazilian and North American Freight Rail Systems: A Comparative Regulatory Assessment." In 2018 Joint Rail Conference. American Society of Mechanical Engineers, 2018. http://dx.doi.org/10.1115/jrc2018-6138.

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Competition is the driving force of any economic system, as it creates a challenging environment for service suppliers to provide affordable and reliable services to customers. Rail systems are an important element of the logistic chain, as they provide a unique service category (generally transporting large volumes at low unit costs) to shippers that otherwise would not be serviced by other modes — the so called captive shippers. In this scenario, competition is essential to guarantee the required service levels (availability and reliability), followed by competitive rates, which ultimately may influence shippers’ business competitiveness, both regionally and globally. Brazil and some North American countries (Canada, Mexico and United States), have a common feature, i.e. continental territories allied with the economic exploitation of bulky activities (industrial, mineral and agricultural), and, hence, depend strongly on heavy haul rail systems. These countries have been performing a continuous effort on improving competition practices into their rail systems, which are translated into important, and sometimes controversial, regulatory measures. These initiatives require a tenuous equilibrium, as they are supposed to provide the required competitive service at affordable rates for shippers, as well as a sustainable (financial and operational) environment to rail carriers, to guarantee the required return on long term investments and avoid compromising medium and long term rail network efficiency. This challenging task for rail market stakeholders (rail carriers, shippers and regulators) is far from a consensus. Rail companies claim that, as a capital intensive sector, governmental regulatory intervention into the rail system may inhibit their ability to invest the required funds to provide and expand rail capacity, as well as the maintenance of the required safety levels. Shippers, on the other hand, state that rail systems operate within a strong market concentration (originally formatted or due to subsequent merges and acquisitions) that give some rail carriers a disproportionate market power, that resembles a monopoly, which ultimately leaves a significant contingent of the so called captive shippers with just one freight rail carrier option, sometimes subjected to excessive rates, and, in some special instances (into offer restricted rail markets, for example), are responsible for the unavailability of rail services into the required volumes. In this context, there is currently a controversial debate regarding the effectiveness of competitive regulatory remedies into freight rail systems. This debate includes both market oriented rail systems (Canadian and U.S.), as well as rail contractual granted ones (Brazilian and Mexican). In the formers, the systems are mostly owned and operated by the private sector, and inter and intra modal options may theoretically provide the required competition level, while in the latter, rail systems have been broken into separate pieces and granted to the private sector under a concession arrangement, followed by an exclusive right to serve their territories, with trackage rights provisions, to be exerted by third parties, under previously defined circumstances and subjected to contractual agreements among rail operators. In both systems, competitive regulatory actions may be desirable and effective, as far as they may address the technical-operational-economic boundary conditions of each particular rail system. This work is supposed to present, into a review format, sourced from an extensive research into available international technical literature, and gathered as a unique document, an overview of the Brazilian and North American freight rail competition scenario, followed by a technical and unbiased effectiveness’ assessment of current (existing) and proposed competitive regulatory freight rail initiatives into Brazil, Canada, Mexico and United States, highlighting their strengths and eventually their weaknesses.
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Reports on the topic "Financial regulatory system"

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Price, Roz. Taxation and Public Financial Management of Mining Revenue in the Democratic Republic of Congo. Institute of Development Studies (IDS), October 2021. http://dx.doi.org/10.19088/k4d.2021.144.

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This rapid review provides a summary of the evidence on the taxation and public financial management of mining revenues in the Democratic Republic of Congo (DRC). This is a very complex topic, with a large and growing literature base, a huge interest by donors, non-governmental organisations and businesses, with some conflicting information at times. In particular, specific data on provincial budgets and spending was not identified during this review. No specific information on public financial management in either of these provinces was identified during the course of this review. Given the burgeoning size of the literature base and the complexity of the mining sector in the DRC, this rapid review only provides a snapshot of the literature. It draws on academic, grey and donor literature sources. Some papers for further reading are highlighted. The report first provides a brief background discussion of general taxation in the DRC, the decentralisation process, and provincial public revenue management. The next section provides general information on the mining sector in the DRC, including the regulatory system and official duties, royalties and tax provisions. Section 4 goes into more detail about taxation and rent-seeking in the mining sector, touching on both large-scale mining (LSM) and artisanal and small-scale mining (ASM). The next section looks at smuggling of minerals in the DRC, with a focus on gold. Finally, some specific lessons learned were drawn from two World Bank projects and highlighted in the final section. Lessons and experiences from other mining-related projects are also highlighted throughout the report. Literature in French was not included in this rapid review, which may mean that some key documents were omitted.
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Cook, Stephen, and Loyd Hook. Developmental Pillars of Increased Autonomy for Aircraft Systems. ASTM International, January 2020. http://dx.doi.org/10.1520/tr2-eb.

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Increased automation for aircraft systems holds the promise to increase safety, precision, and availability for manned and unmanned aircraft. Specifically, established aviation segments, such as general aviation and light sport, could utilize increased automation to make significant progress towards solving safety and piloting difficulties that have plagued them for some time. Further, many emerging market segments, such as urban air mobility and small unmanned (e.g., small parcel delivery with drones) have a strong financial incentive to develop increased automation to relieve the pilot workload, and/or replace in-the-loop pilots for most situations. Before these advances can safely be made, automation technology must be shown to be reliable, available, accurate, and correct within acceptable limits based on the level of risk these functions may create. However since inclusion of these types of systems is largely unprecedented at this level of aviation, what constitutes these required traits (and at what level they must be proven to) requires development as well. Progress in this domain will likely be captured and disseminated in the form of best practices and technical standards created with collaboration from regulatory and industry groups. This work intends to inform those standards producers, along with the system designers, with the goal of facilitating growth in aviation systems toward safe, methodical, and robust inclusion of these new technologies. Produced by members of the manned and unmanned small aircraft community, represented by ASTM task group AC 377, this work strives to suggest and describe certain fundamental principles, or “pillars”, of complex aviation systems development, which are applicable to the design and architectural development of increased automation for aviation systems.
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Kollins, K., B. Speer, and K. Cory. Solar PV Project Financing: Regulatory and Legislative Challenges for Third-Party PPA System Owners. Office of Scientific and Technical Information (OSTI), November 2009. http://dx.doi.org/10.2172/969152.

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Frisari, Giovanni, Matías Gallardo, Chiemi Nakano, Víctor Cárdenas, and Pierre Monnin. Climate Risk and Financial Systems of Latin America: Regulatory, Supervisory and Industry Practices in the Region and Beyond. Inter-American Development Bank, December 2019. http://dx.doi.org/10.18235/0002046.

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Sillah, Bukhari. Country Diagnostic Study – United Arab Emirates. Islamic Development Bank Institute, November 2021. http://dx.doi.org/10.55780/rp21002.

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The Country Diagnostic Study (CDS) for United Arab Emirates (U.A.E.) uses the Hausmann-Rodrik-Velasco growth diagnostics model to identify the binding constraints being faced in its quest for higher economic growth and make recommendations to relax these constraints. Hence, the findings of the CDS can help the Islamic Development Bank in identifying areas where it can have a greater impact and provide an evidence basis to support the development of the Member Country Partnership Strategy. U.A.E.’s development journey has been painstakingly crafted over time, with the latest being Vision 2021. Launched in 2010 and in the aftermath of the global financial crisis (GFC), Vision 2021 was designed to place the U.A.E. among the best nations in the world. It has achieved several targets under the competitive knowledge pillar of the Vision, but some key targets related to economic growth, innovation, and knowledge workers are yet to be fully realized. This is because growth has been low and inadequate with relatively low private investment since the 2008–2009 GFC, leading to a lower than potential real GDP trend. To bring in private investment and improve growth, both quantity and quality of human capital may need to be scaled up through improving the education system and spending on research and development to support industry-university collaboration on innovations. Efficient institutional governance in the areas of corruption control, regulatory quality and conducive bureaucracy is necessary for the vibrant functioning of the private sector.
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Rusk, Todd, Ryan Siegel, Linda Larsen, Tim Lindsey, and Brian Deal. Technical and Financial Feasibility Study for Installation of Solar Panels at IDOT-owned Facilities. Illinois Center for Transportation, August 2021. http://dx.doi.org/10.36501/0197-9191/21-024.

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The Smart Energy Design Assistance Center assessed the administrative, technical, and economic aspects of feasibility related to the procurement and installation of photovoltaic solar systems on IDOT-owned buildings and lands. To address administrative feasibility, we explored three main ways in which IDOT could procure solar projects: power purchase agreement (PPA), direct purchase, and land lease development. Of the three methods, PPA and direct purchase are most applicable for IDOT. While solar development is not free of obstacles for IDOT, it is administratively feasible, and regulatory hurdles can be adequately met given suitable planning and implementation. To evaluate IDOT assets for solar feasibility, more than 1,000 IDOT sites were screened and narrowed using spatial analytic tools. A stakeholder feedback process was used to select five case study sites that allowed for a range of solar development types, from large utility-scale projects to small rooftop systems. To evaluate financial feasibility, discussions with developers and datapoints from the literature were used to create financial models. A large solar project request by IDOT can be expected to generate considerable attention from developers and potentially attractive PPA pricing that would generate immediate cash flow savings for IDOT. Procurement partnerships with other state agencies will create opportunities for even larger projects with better pricing. However, in the near term, it may be difficult for IDOT to identify small rooftop or other small on-site solar projects that are financially feasible. This project identified two especially promising solar sites so that IDOT can evaluate other solar site development opportunities in the future. This project also developed a web-based decision-support tool so IDOT can identify potential sites and develop preliminary indications of feasibility. We recommend that IDOT begin the process of developing at least one of their large sites to support solar electric power generation.
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Williams, Teshanee, Jamie McCall, Natalie Prochaska, and Tamra Thetford. How Community Development Financial Institutions (CDFIs) are shaped by Funders through Data Collection, Impact Measurement, and Evaluation. Carolina Small Business Development Fund, November 2022. http://dx.doi.org/10.46712/cdfi.evaluation.pressures.

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Community Development Financial Institutions (CDFIs) are grassroots organizations that provide equitable access to financial capital. While a robust body of evidence supports the ability of CDFIs to promote holistic and sustainable development, attempts to systematically evaluate the industry have yielded disparate and often confounding results. We apply an institutional theory lens to examine challenges to meaningful data collection, impact measurement, and program evaluation. Our data show how regulators, major funders, and third-party rating organizations have applied indirect and direct pressures that have systematically lowered the capacity of nonprofit CDFI loan funds. This combination of coercive, mimetic, and normative isomorphic forces has (1) hampered meaningful data collection, (2) created a lack of staff expertise in these areas, (3) raised the cost and complexity of utilizing technology systems to improve evaluation processes, and (4) fostered industry norms which de-prioritize meaningful evaluation. The data suggest several ways for stakeholders to improve these trends. For example, funders might consider providing support which builds organizational capacity via unrestricted operating grants and recurring financial commitments.
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Pueyo, Ana, Gisela Ngoo, Editruda Daulinge, and Adriana Fajardo. The Quest for Scalable Business Models for Mini-Grids in Africa: Implementing the Keymaker Model in Tanzania. Institute of Development Studies, October 2022. http://dx.doi.org/10.19088/ids.2022.071.

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Achieving universal electrification in sub-Saharan Africa requires creative solutions. Renewable mini-grids are a promising technology to electrify remote communities with a substantial productive demand, mainly from agro-processing. Mini-grids have experienced fast growth and there are now around 2,200 systems in the sub-Saharan Africa region. However, their economic case in the sub-continent is unclear. Most mini-grids are struggling not only to obtain a profit but also to recover costs. This Research Report describes the case of a private company in Tanzania implementing a business model for mini-grids that promotes productive uses of energy to achieve financial sustainability (the ‘Keymaker model’). A group of researchers worked jointly with the mini-grid developer to procure equipment for fish processing activities, support local entrepreneurs to use electricity productively, and to document and learn from the process. Although the business model was ultimately unsuccessful – facing high regulatory risks, high initial tariffs required to recover costs, and complex management of agro-processing activities – the project offers useful lessons and considerations for future efforts to promote mini-grids, and how public–private partnerships can help improve affordability and reduce regulatory risks.
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Khan, Mahreen. Evaluating External Government Audit. Institute of Development Studies, September 2022. http://dx.doi.org/10.19088/k4d.2022.140.

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This rapid literature review of primary and grey sources found substantial evidence of the merits of donor support to Public Financial Management (PFM) initiatives but no specific evidence assessing donor support for external government audit, such as Supreme Audit Institutions (SAIs). PFM reforms are established as being generally beneficial, assist in reducing or preventing corruption, increasing transparency and accountability, as well as improving service delivery quality, although the exact impacts are difficult to measure. Performance auditing has recently attracted more attention than traditional financial or compliance auditing and is seen by many sources to be conducive to improving accountability, although compliance and financial auditing are still viewed as the core of external audit. There is a substantial body of literature on donor-assisted PFM reforms but a paucity of focused study or discussion of donor support to external audit specifically. This evidence gap may be due to the cost of examining the narrow focus required on donor-assisted external audit specifically. This is compounded by the complexity of gathering a sufficiently large database through surveys combined with the lack of access (for individual academics) to official datasets across countries. Furthermore, measuring the impact of SAIs, for example, is difficult due to the variety of regulatory structures that exist, inhibiting comparative cross-country studies, which has resulted in a preference for in-depth analyses. Only multilateral institutions have conducted comprehensive cross-country surveys. However, the evidence does show that strengthened PFM systems and SAIs,1 if they are independent and fully resourced, increase transparency and accountability, helping to combat corruption, when governments are made answerable to their audit findings. The evidence on the effectiveness of SAIs (against corruption) is mixed and not as strong as for PFM reforms in general. The impact of PFM interventions in preventing or reducing corruption increases when reforms are sector-specific and complemented by societal awareness initiatives, citizen participation, and infomediary advocacy. This finding seems applicable to SAIs as the discourse is increasingly on improving comprehension of audit reports and wider dissemination to relevant stakeholders.
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Crossan, Mary, Gerard Seijts, Jeffrey Gandz, and Carol Stephenson. Leadership on Trial : A Manifesto for Leadership Development. Richard Ivey School of Business, 2010. http://dx.doi.org/10.5206/iveypub.44.2010.

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Abstract:
Recent books and articles have analyzed the causes of the global financial and economic crisis of 2007-09. Yet little attention has been paid to the quality of leadership in organizations that were at the epicentre of the storm, were victims of it, avoided it or even prospered from it. In the summer of 2009 a multi-disciplinary group of Ivey faculty decided to look at the leadership dimensions of the recent financial and economic crisis. We started by writing a working paper that laid out our preliminary views. We then engaged more than 300 business, public sector and not-for-profit leaders in small and large groups, as individuals and collectives, to get their reaction to this paper and, more generally, to discuss te role that organizational leadership played before, during and after the crisis. We examined leadership not just in the financial sector but also in many other public and private sector organizations that were affected by the crisis. In a sense, we were putting leadership on trial. Our aim in doing this was not to identify and assign blame. Rather, we examined leadership during this critical period in recent history to learn what we could, and use the learning to improve practice in leadership today and the development of next generation leaders. As we analyzed the role of leadership in this crisis we were faced with one major question: "Would better leadership have made a difference?" Our answer is unequivocal: "Yes!" We recognize that many people could argue it is unfair to criticize leaders whose decisions were based on their knowledge of the situation at the time and which only eventually, with the aid of 20/20 hindsight proved bad. We respect this view but we disagree with it. Some business and public sector leaders predicted better than others the bursting of the housing bubble and financial markets turmoil, positioned their organizations to avoid problems, and coped with them skillfully. Their organizations were not badly damaged by the crisis and some even prospered. Some governments and regulatory agencies' control and monitoring systems were superior to those in the U.S., the U.K., Ireland, Spain, Iceland and other countries that had to bail out their banks and other industries. Our evidence supports the conclusion that these companies, these agencies, these governments and these countries had better leadership. Good leadership mattered then and good leadership will matter in the future. We are presenting our conclusions about what good leadership involves in the form of a public statement of principles - a manifesto that addresses what good leaders do, who they are, and how they can be developed in organizations.
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