- Banking Supervision and External Auditors: What Works Best?
3 May 2017
What are the pros and cons of involving external auditors in banking supervision? This paper investigates the relationship between banking supervision and the involvement of external auditors from a…
- Incentive Problems in Banking Supervision - the European Case
7 January 2004
This paper discusses the incentive conflicts that arise in banking supervision in the EU in a principal-agent framework, where the regulator is the agent and the taxpayers is the principal. The…
- Banking Supervision Outsourcing: Economics, Rules and Drivers
15 February 2016
What are the pros and cons of involving external auditors in banking supervision? Which are the concrete rules of the game all around the world? How to evaluate them? The aim of this paper is to shed…
- Banking Supervision: Quality and Governance
17 April 2007
This paper examines the relationship between the quality of banking supervision and governance of the supervisory agency, based on assessments of the Basel Core Principles and the IMF Code on…
- Local Bank Supervision
Report · 27 October 2023
We examine a policy reform that moved supervision for a subset of bank branches in China from the national to the prefecture level. Following the reform, these branches were 57 to 80% more likely to…
- Supranational Supervision and Bank Governance
Report · 10 March 2025
This paper investigates how supranational supervision shapes bank governance prompted by the introduction of the Single Supervisory Mechanism. We begin by detailing key regulatory developments that…
- A Normative Analysis of Banking Supervision: Independence, Legal Protection and Accountability
23 June 2009
This paper uses a formal model of a bank supervisor to derive policy implications on the optimal institutional arrangements for effective banking supervision. I find that bank supervisors should have…
- The Institutional Models for Financial Supervision: An Analysis
19 November 2025
The paper considers the different institutional models, which aim at delivering financial supervision at national level. It critically examines the three existing models, being the three pillar…
- Can I Speak to Your Supervisor? The Importance of Bank Supervision
16 November 2025
In March of 2023, the U.S. banking industry experienced a period of significant turmoil involving runs on several banks and heightened concerns about contagion. While many factors contributed to…
- Supervisando Al Supervisor Bancario: Riesgos Y Estrategias De Cobertura (Supervising the Banking Supervisor: Risks and Hedging Strategies)
Report · 15 November 2025
Spanish Abstract: En la Sección 1. de carácter introductorio, se recuerda que el mito del supervisor siempre eficaz y eficiente es tan pernicioso como la fe ciega en la disciplina del mercado y que…
- Technology and the ‘New Governance’ Techniques of Financial Regulation
Report · 17 October 2025
Modern data and information technologies are having a profound impact on financial services and opening new frontiers in regulation. This article explores the deployment of technology to embed…
- Reconceptualization of Corporate Governance for Fintech Firms
5 June 2025
[enter Abstract Body]The recent scandals involving some major fintech firms/platforms such as FTX, Wirecard, Celsius, TerraLuna and Lending Club raise questions about the efficacy of the current…
- Supervisory Strategy 2025 - 2028
Strategy · 27 November 2024
The Supervisory Strategy 2025 – 2028 sets out the DNB’s priorities for the next four years, focusing on maintaining financial stability and integrity amid global uncertainty and rapid technological…
- One year later: Lessons learned from the March 2023 bank failures
Event · 5 March 2024
On March 5, the Brookings Institution’s Hutchins Center on Fiscal & Monetary Policy and Center on Regulation and Markets (CRM) reflected on these questions, beginning with a panel on shortcomings of…
- Strengthening Financial Sector Governance in Emerging Markets
Report · 30 June 2002
This comprehensive conference report summarizes the key findings from a high-level dialogue between the World Bank, the IMF, and the Brookings Institution regarding the critical role of financial…
- Nuggets from the Fed’s new Financial Stability and Supervision & Regulation reports
News · 31 January 2019
This article highlights the release of the Federal Reserve’s inaugural reports on Financial Stability and Supervision & Regulation, providing a rare glimpse into the internal metrics the Fed uses to…
- FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
News · 25 July 2017
The Financial Conduct Authority (FCA) has unveiled proposals to extend the Senior Managers and Certification Regime (SM&CR) to nearly all regulated financial services firms in the UK. This regulatory…
- Andrew Bailey speech at press conference for the publication of FCA corporate documents
Speech · 27 April 2017
In his 2017 address, Andrew Bailey, then-Chief Executive of the Financial Conduct Authority (FCA), introduced a landmark suite of corporate documents designed to define the regulator's core mission…
- FCA publishes discussion paper on transforming culture in financial services
News · 12 March 2018
The 2018 discussion paper on transforming culture in financial services represents a pivotal moment in the FCA's transition from a "compliance-based" to an "outcomes-based" regulator. By publishing a…
- Building a financial regulatory system suitable for the UK in the new era
Speech · 30 June 2020
In July 2020, Nausicaa Delfas, then-Executive Director of International at the FCA, outlined a vision for a new era of financial regulation shaped by the triple challenges of Brexit, the Covid-19…
- The future of financial services regulation in the UK
Speech · 29 October 2019
In 2019, Nausicaa Delfas outlined a strategy of "preparedness and continuity" as the UK approached the final stages of Brexit. Her focus was on ensuring that the UK financial system remained…
- Joint statement from UK Financial Regulation Authorities on London Metal Exchange and LME Clear
Report · 3 April 2022
Following the suspension of nickel trading in March 2022, the FCA, Bank of England, and PRA issued a joint statement outlining a coordinated regulatory review of the London Metal Exchange (LME) and…
- FCA response to the independent review of the prudential supervision of the Co-operative Bank
News · 27 March 2019
This press release outlines the FCA’s response to the independent review of the prudential supervision of the Co-operative Bank, covering the period between 2008 and 2013. The review, conducted by…
- FCA publishes report on the supervision of Algorithmic Trading
Report · 21 August 2018
The Financial Conduct Authority (FCA) has published a supervisory report on the oversight of algorithmic trading in wholesale markets. The report outlines the regulator’s key areas of focus and…
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