Regulating (From) the Inside

The Legal Framework for Internal Control in Banks and Financial Institutions

Nonfiction, Reference & Language, Law, Banking
Cover of the book Regulating (From) the Inside by Dr Iris H-Y Chiu, Bloomsbury Publishing
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Author: Dr Iris H-Y Chiu ISBN: 9781509901395
Publisher: Bloomsbury Publishing Publication: November 5, 2015
Imprint: Hart Publishing Language: English
Author: Dr Iris H-Y Chiu
ISBN: 9781509901395
Publisher: Bloomsbury Publishing
Publication: November 5, 2015
Imprint: Hart Publishing
Language: English

This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gate-keeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control.

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This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gate-keeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control.

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