- Fostering Centralization of EU Banking Supervision Through Case-Law. The European Court of Justice and the Role of the European Central Bank
Report · 14 May 2019
fter almost five years from its entry into force, the Single Supervisory Mechanism (“SSM”) established by Regulation 1024/2013 of 15 October 2013, in force since November 4, 2014 (“SSM Regulation”)…
- Auditor Independence - Its Importance to the External Auditor's Role in Banking Regulation and Supervision
22 May 2009
The role of the external auditor in the supervisory process requires standards such as independence, objectivity and integrity to be achieved. Even though the regulator and external auditor perform…
- Prudential Supervision: Why is it Important and What are the Issues?
25 September 2000
This paper outlines what problems asymmetric information creates for the financial system and shows and shows that the presence of asymmetric information explains why banks are so important. The…
- Crisi Economica E Vigilanza Unica Europea Sulle Banche: Alcuni Riflessi Sul Mercato Dei Servizi Finanziari (Financial Crisis and Single European Banking Supervision: Implications for the Financial Services Market)
4 May 2016
Italian Abstract: La vigilanza unica della Banca Centrale Europea rappresenta uno dei tre pilastri dell’Unione Bancaria Europea, insieme al Meccanismo unico di risoluzione delle crisi bancarie e al…
- Avoiding Another Enron: The Role of the External Auditor in Financial Regulation and Supervision
22 May 2009
Following the collapse of Enron, many questions have been raised as to why the UK has avoided its Enron. Many commentators have considered whether this is due to the fact that the UK's system of…
- 금융위기 이후 감독체계 개편론 분석: 미국·영국·EU와 한국 (A Review of the Post-Crisis Proposals for Reforming the Institutional Structure of Financial Supervision in the United States, the United Kingdom, the European Union and in Korea)
15 August 2017
Korean Abstract: 글로벌 금융위기 이후, 국제적으로는 물론 각국 국내적으로도 감독개혁이 진행 중이다. 개혁 논의는 내용상 감독실질의 개혁과 감독체계(감독지배구조)의 개혁으로 대별된다. 이 글은 특히 미국·영국·EU에서 진행 중인 국내적 차원의 감독체계 개혁론을 각각 분석·비교한다. 이들 나라(지역)의 정부(관련 당국)는 각기 자국의…
- The Institutional Framework for the Supervision of the Financial Intermediary System in Hungary
Report · 11 April 2015
The economic crisis unfolding in 2007 had significant implications in terms of reinterpreting the role and responsibility of central banks. This paper presents a set of criteria for a “good”…
- Globalization: A Challage for Internal Control and Audit in Banking System
7 April 2008
The recent evolution of Romanian banking system, profoundly marked by globalization, has increased the need of a prudential supervision in order to maintain stability and confidence in the financial…
- Keynote Address: The Role of Capital in Optimal Banking Supervision and Regulation
16 November 2007
Keynote remarks by Federal Reserve Chairman Alan Greenspan on "The Role of Capital in Optimal Banking Supervision and Regulation."
- Allocating Lending of Last Resort and Supervision in the Euro Area
24 May 2002
The Maastricht Treaty created the European System of Central Banks and the European Central Bank to head this system. The Treaty entrusted the European Central Bank with the responsibility for…
- Il ruolo della vigilanza nella prevenzione dei dissesti finanziari (The Role of Supervisory Authorities in Preventing Financial Crises)
12 January 2016
Italian Abstract: Tesi di laurea in giurisprudenza sul ruolo della vigilanza nella prevenzione delle crisi finanziarie. Nel capitolo 1 è discusso lo sviluppo del quadro normativo della vigilanza a…
- Bank Supervision, Regulation, and Instability During the Great Depression
21 May 2004
Even after controlling for local economic conditions, differences in state bank supervision and regulation contribute toward explaining the large variation in state bank suspension rates across U.S.…
- Are Sanctions Effective in Improving Bank Performance? A Study on Supervision and Administrative Sanctions Upon Italian Banks During the 1998-2009 Period
6 April 2011
The recent financial turmoil has refuelled the debate on the effectiveness of supervision and the overall architecture for the safeguard and stability of the international financial system. From this…
- Who Should Supervise? The Structure of Bank Supervision and the Performance of the Financial System
21 September 2011
We assemble data on the structure of bank supervision, distinguishing supervision by the central bank from supervision by a nonbank governmental agency and independent from dependent governmental…
- Financial Regulation and Supervision Post the Global Financial Crisis
Report · 9 September 2015
China and East Asia have survived the global financial crisis of 2007-9 reasonably unscathed. China has achieved a real rate of growth of 9.1 percent in 2009 and 11.1 percent year-over-year in the…
- Supervision and Central Banking: Improving the Exchange of Information
Report · 9 July 2008
In the last few years, the relationship between supervision and central banking has evolved. Following the example of the UK, supervisory responsibilities have been allocated in some countries to…
- Banking Governance and the New EU Supervision
Report · 19 November 2016
The experience of the financial crisis gave rise to the reform of the set-up of EU supervision. The awareness of serious deficiencies in the governance of the banks has led to the introduction of new…
- The Importance of Qualitative Risk Assessment in Banking Supervision Before and During the Crisis
Report · 8 June 2016
Banking supervision requires regular inspection and assessment of financial institutions. In Germany this task is carried out by the central bank ('Deutsche Bundesbank, BBK') in cooperation with the…
- Bank Supervision and Corruption in Lending
1 September 2005
Which commercial bank supervisory policies ease - or intensify - the degree to which bank corruption is an obstacle to firms raising external finance? Based on new data from more than 2,500 firms…
- Financial Regulation and Supervision in Corporate Governance of Banks
Report · 4 September 2015
This Essay discusses and analyzes the role of financial regulation and the state’s interference through financial supervision with corporate governance of banks from economic and political…
- Introduction to Special Issue on Human Capital in Financial Regulation and Supervision Management & Organizational History
14 February 2025
This special issue examines the global importance of human capital in financial regulation and supervision in the twentieth century. It does so through five national case studies, including China…
- Regulation and Supervision: An Ethical Perspective
Report · 21 March 2008
This essay shows that government credit-allocation schemes generate incentive conflicts that undermine the quality of bank supervision and eventually produce banking crisis. For political reasons…
- Bank Regulation and Supervision: What Works Best?
15 November 2002
This paper uses our new database on bank regulation and supervision in 107 countries to assess the relationship between specific regulatory and supervisory practices and banking-sector development…
- The Role of External Auditors in Bank Supervision: A Supervisory Gatekeeper?
recent response to the financial crisis has been to reinvigorate the use of external auditors in financial regulation. The UK Prudential Regulation Authority and Financial Conduct Authority are to…
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