Regulatory Strategies

Marianne Ojo D Delaney PhD
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引用次数: 3

Abstract

Over the years, there has been a shift from a wide command-and-control style of supervision whereby the regulator imposes detailed rules with which regulators supervise to one which consists of risk based regulatory strategies. 'Enforced Self Regulation', a regulatory strategy whereby negotiation takes place between the State and the individual firms, lies between the command-and-control style of supervision and meta risk regulation in that firms are still required to regulate but according to their own models. It differs from the traditional command-and-control style of bank supervision in that firms and not the regulator, are required to regulate. It is similar to meta-risk regulation in that the individual firm's model is taken into consideration in regulating such firms. Whilst the merits and disadvantages of the individual regulatory strategies are considered, this paper concludes that all regulatory strategies should take into consideration the importance of management responsibilities – both on individual and corporate levels.
监管策略
多年来,监管机构已经从广泛的命令和控制式的监管方式(即监管机构制定监管机构监管的详细规则)转变为一种由基于风险的监管策略组成的监管方式。“强制自我监管”是一种监管策略,通过国家和个别公司之间的谈判,它介于命令和控制式的监管和元风险监管之间,因为公司仍然需要根据自己的模式进行监管。它与传统的命令和控制式银行监管不同之处在于,被要求监管的是企业,而不是监管机构。它类似于元风险监管,因为在监管此类公司时考虑到单个公司的模型。虽然考虑了个别监管策略的优点和缺点,但本文得出的结论是,所有监管策略都应考虑到管理责任的重要性——无论是在个人层面还是在公司层面。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
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