- 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…
- A Holistic Approach to the Institutional Architecture of Financial Supervision and Regulation in the EU
10 October 2019
growing consensus has emerged in the post-crisis financial regulatory agenda that the European architecture of financial supervision and regulation is far from ideal. Rather than moving to a…
- 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…
- Nationally Fragmented Supervision Over Multinational Banks as a Source of Global Systemic Risk: A Critical Analysis of Recent EU Reforms
The European single market supported the creation of multinational banking groups. However, the European banking directives and the single license system were built along the model of the stand-alone…
- Internal Loan Ratings, Supervision, and Procyclical Leverage
17 October 2024
Using administrative data from the Shared National Credit (SNC) Program, we find evidence of systematic downward drift in ratings, consistent with initial ratings inflation. The drift is predictable…
- 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…
- Challenge of International Cooperation and Institutional Design in Financial Supervision: Beyond Transgovernmental Networks
21 April 2010
This paper explores the case for a global financial regulator. It first identifies two problems with how legal scholars viewed the international financial architecture before the financial crisis.…
- Islamic Banking Regulation and Supervision: Survey Results and Challenges
6 February 2015
The growing presence of Islamic banking needs to be accompanied by the development of effective regulation and supervision. This paper examines the results of the survey conducted by the…
- 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…
- Bank Supervision
Report · 11 November 2022
We provide a critical review of the empirical and theoretical literature on bank supervision. This review focuses on microprudential supervision: the supervision of individual banking institutions…
- The Need for Greater Pro Active Involvement by Regulators in Financial Regulation and Supervision: Lessons from the Legal and General Case
18 June 2009
This paper considers the need for a more pro active approach which facilitates greater on site work being carried out by supervisors - as highlighted in the Legal and General Case. It also considers…
- The Federal Structure of Financial Supervision: A Story of Information-Flow
24 May 2016
This paper analyzes the financial regulatory structure of the US (federal level) from the point of view of information-flow. Two central discussions regarding regulation of the financial sector have…
- Integrated Financial Supervision: Lessons from Northern European Experience
20 April 2016
In the past, financial supervision tended to be organized around specialist agencies for the banking, securities, and insurance sectors. In recent years, several countries have moved toward…
- 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…
- Central Banks' Role in Bank Supervision in the United States and United Kingdom
7 January 2003
Driven in part by the question of bank supervision in euro-area countries, a growing body of literature addresses whether central banking and bank supervision should be combined. This paper address…
- 금융안정과 금융감독: 이론적 해석 (Financial Stability and Supervision: Theoretical Interpretation)
11 August 2017
Korean Abstract: 본고는 금융안정을 위한 금융감독 방안을 제시한다. 이를 위해 금융안정을 위협하는 요소를 도덕적 해이, 상호연계성, 경기순응성으로 구분하여 금융안정의 개념을 구체화하였다. 그리고 이러한 위협요소를 사전적으로 예방할 수 있는 금융감독 방안을 세 가지 부문으로 구분하여 제시하였다. 첫째, 건전성 규제는 개별 금융회사 또는 특정…
- Systemic Risk Measures and Their Viability for Banking Supervision
Report · 9 July 2014
We propose a criteria-based framework to assess the viability of systemic risk measures (SRMs) as a monitoring tool for banking supervision and investigate the determinants of the banking system's…
- Bank Supervision after the Financial Crisis: Signals from the Market for Liquidity
11 April 2015
The financial turmoil that we have been living with since August 2007 has left central banks, regulators, politicians, and economists with two big, overriding questions: How do we best get out of the…
- The New EU Regulatory Framework Governing the Approval and Consolidated Supervision of Financial Holding Companies and Mixed Financial Holding Companies
Report · 4 May 2021
In 2019, the so-called “Capital Requirements” Directive 2013/36/EU (CRD IV) was amended by virtue of Directive (EU) 2019/878 (CRD V) in respect to several aspects, including the supervision of…
- Economic Policy Uncertainty and Bank Stability: Does Bank Regulation and Supervision Matter in Major Europe Economies?
1 February 2021
Motivated by the unprecedented high levels of recent economic policy uncertainty in Europe and the globe, this paper examines the relationship between economic policy uncertainty and bank stability…
- The Impact of ECB Banking Supervision on Climate Risk and Sustainable Finance
Report · 23 July 2024
This paper provides a first empirical analysis of the impact of the European Central Bank’s (ECB’s) climate-risk-related supervisory efforts on (i) climate risk exposure and related risk management…
- Financial Fragility and Economic Performance in Developing Economies: Do Capital Controls, Prudential Regulation and Supervision Matter?
13 February 2006
Little empirical investigation exists of the links among capital account liberalization, prudential regulation and supervision, financial crises, and economic development, mainly because of the lack…
- Financial Supervision as Economic Policy: Importance, Key Facts and Drivers
4 September 2013
This article presents an overview of the evolution of financial supervision as emerging and relevant tool of the overall economic policy design. We concentrate our analysis on the last three decades…
- Helping Hand or Grabbing Hand? Politicians, Supervision Regime, Financial Structure and Market View
27 May 2008
lmost all literature on the evolution of financial supervision architecture stresses the importance of financial market characteristics in determining the recent trend toward more unification. In the…
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