- Issue of Securities through Blockchain Technology
Report · 13 August 2019
Blockchain technology has become a buzz word in the financial market. The market of bitcoins and related instruments are being discussed and adopted. The use of blockchain technology has also started…
- Price Bubbles of New-Technology Ipos
12 March 2002
et pricing models with atomistic agents typically relax assumptions concerning rationality and/or homogenous information in order to track endogenous bubbles. In this model, identically informed…
- Innovations in Financial IS and Technology Ecosystems: High-Frequency Trading in the Equity Market
Report · 5 March 2015
Technology-based financial innovations over the past four decades have led to transformations in the financial markets. Understanding technological innovations in financial information systems (IS)…
- Distributed Ledger Technology for Securities Clearing and Settlement: Benefits, Risks, and Regulatory Implications
Report · 13 December 2018
This article outlines the benefits and risks of the distributed ledger technology (DLT) for the clearing and settlement phase of the trade life cycle and describes its potential role for central…
- The Evolution of ESMA and Direct Supervision: Are there Implications for EU Supervisory Governance?
Report · 18 May 2017
The European Securities and Markets Authority (‘ESMA’) was established over six years ago. It, and its sibling bodies for banking, and the insurance and occupational pensions sector, emerged from the…
- The Impact of Blockchain Technology on Financial Regulations and Legal Frameworks
Report · 29 July 2023
Blockchain, Tokenization and Cryptocurrency words every person must have heard atleast once. Countries are making laws related to these technologies and going forward these are going to be the…
- Earnings Manipulation Paths and Mitigation Strategies for Agricultural Technology Enterprises: A Hybrid Approach Using Fsqca and Nca
6 August 2024
gricultural technology companies themselves enjoy high subsidies, but they frequently engage in Earnings manipulation. This study investigates earnings manipulation in 63 agricultural technology…
- Energy Trading and Its Multiplicity of Supervisors: Effectiveness of Fragmented Supervision and Information Sharing in View of Reporting Obligations for Energy Trading Companies
Report · 9 November 2020
Energy companies trading in derivatives which have a value based on an energy product (“Energy Trading”) are subjected to a fragmented regulatory framework. They are supervised by a multitude of…
- Barking Dogs Seldom Bite: Firm and Stock Market Responses to Naming and Shaming in German Financial Markets Supervision
31 October 2025
Using data from the German financial supervisor (BaFin), we find no consistent evidence of systematic stock market responses or adverse changes in firm financials upon the public disclosure of…
- Supervision and Class Action Against Conflicts of Interest in 'Universal Banking': US Experience vis-a-vis Recent Italian Initiatives
19 April 2007
The recent wake of financial scandals has prompted also in Italy a heated debate on how to regulate conflicts of interest emerging when banks simultaneously carry out commercial banking, on the one…
- EU Regulation and Supervision of Securities Business: A Critical Analysis of the Challenges Faced by the National Competent Authorities of Small EU and EEA EFTA Member States
Report · 21 February 2021
The paper aims at identifying the main challenges faced by the National Competent Authorities responsible for securities regulation and supervision of small EU and EEA EFTA Member States (SNCAs)…
- Effects of Venture Capital, R&D, and Technology on IPO Underpricing: Evidence from China
Report · 1 October 2021
Research Question: This study is a preliminary attempt to investigate the effects of technology and R&D expenditure and the moderating effect of venture capital through the interaction of technology…
- Disruptive Technology and Securities Regulation
Report · 14 January 2015
Nowhere has disruptive technology had a more profound impact than in financial services — and yet nowhere more do academics and policymakers lack a coherent theory of the phenomenon, much less a…
- CCP Supervision After Brexit: From Extraterritoriality to a Model of Shared Control
23 May 2023
Brexit has triggered a battle over the clearing of derivatives between the United Kingdom and the European Union. While the former seeks to maintain its preeminent market position, the latter seeks…
- Standard for Asset Impairment Change, Independent Audit Supervision and Strategy Choice of Earnings Manipulation
5 June 2007
In the moment of China's new Standard for Asset Impairment change of no permission for the reversal of four items of impairment provisions, this paper studies that in the transitional years of 2005…
- The Architecture of Securities Market Supervision Before and after the Crisis
Report · 23 July 2012
Which is the current state of the securities market supervision architectures? The recent financial Crisis has forcefully demonstrated that the financial services markets are deeply integrated…
- Regulation of Algorithmic Trading: Frameworks for Human Supervision and Direct Market Interventions
Report · 9 February 2021
This paper identifies the regulatory gaps that currently exist in algorithmic trading and provides a framework for machine learning regulation in finance. It compares the regulation of algorithmic…
- Public Supervision of Securities Markets in Europe: Still Running Behind the US?
31 August 2015
Peer reviewed article. The US and the EU financial markets share, by and large, the same size and level of complexity. However, the EU institutional architecture of securities supervision looks far…
- Breaking the Deadlock: A Single Supervisor to Unshackle Europe's Capital Markets Union
14 August 2025
The debate about a European Union single market for nonbank financial services goes back decades. In recent years, the economic and strategic case for the idea, rebranded as capital markets union in…
- Supervision and Compliance of Brokerage Firms
15 May 2018
Brokerage firms are governed by a comprehensive set of rules and guidance regarding the firms supervision of its brokers. This article traces the supervision rules from their statutory origin through…
- Supervision And Enforcement Of Professional Ethics Standards Of Securities Companies And Individuals Practicing Securities: A Case Study Of Vietnam
7 April 2025
Professional ethics is the foundation of the sustainable development of every business. Securities companies as intermediary institutions, as a bridge for subjects in the stock market to approach…
- Insurance, Banking and Financial Supervision in the Kingdom of Saudi Arabia (KSA) – A Survey
7 November 2020
Insurance, banking and financial supervision in Saudi Arabia is under the responsibility of the Central Bank of Saudi Arabia (which has the function of issuing the national currency, supervising…
- Governance of Securities Regulation and Supervision: Quo Vadis Europa?
27 March 2015
The paper contributes to the debate on the future of the governance of European financial regulation and supervision, triggered by the Commission’s review of the European System of Financial…
- Regulatory Choices in Global Financial Markets: Restoring the Role of Aggregate Utility in the Shaping of Market Supervision
Report · 19 February 2008
In financial market studies, public supervision has rarely been found to have any effects on financial market development. This is true, even though the primary objective of supervisory legislation…
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