Self-Regulation in Securities Markets

This paper canvasses the trends in self-regulation and the role of self-regulation in securities markets in different parts of the world. The paper also describes the conditions in which self-regulation might be an effective element of securities m...

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Bibliographic Details
Main Author:	Carson, John
Format:	Policy Research Working Paper
Language:	English
Published:	2012
Subjects:	ARBITRAGE ARBITRATION ASSET MANAGEMENT ASSET MANAGERS BIDS BOND BOND MARKET BOURSE BROKER BROKERS BUSINESS EXPANSION CAPITAL MARKET CAPITAL MARKETS DEVELOPMENT CAPITAL REQUIREMENTS CENTRAL BANKS CENTRAL SECURITIES DEPOSITORIES CHECKS CIVIL CODE CIVIL LAW CLEARING CORPORATION COMPETITIVE ADVANTAGE COMPETITORS COMPLAINTS COMPLIANCE COSTS COMPLIANCE WITH REGULATIONS CONFLICTS OF INTEREST CONSULTATIVE COMMITTEE COOPERATIVE REGULATION CORPORATE GOVERNANCE COST OF REGULATION COST-EFFECTIVENESS COSTS OF REGULATION CREDIBILITY CUSTODY DEBT DEBT MARKETS DEBT SECURITIES DERIVATIVES DERIVATIVES MARKETS DISCLOSURE REQUIREMENTS ECONOMIC DEVELOPMENT EFFECTIVE REGULATION EFFICIENT CAPITAL EFFICIENT CAPITAL MARKETS EMERGING MARKET EMERGING MARKETS ENFORCEMENT POWERS ENFORCEMENT PROCESSES ENFORCEMENT PROGRAMS EQUITIES EXCHANGE BOARD FINANCIAL FUTURES FINANCIAL INSTITUTIONS FINANCIAL INSTRUMENTS FINANCIAL INTERMEDIARIES FINANCIAL MARKET FINANCIAL MARKETS FINANCIAL SECTOR FINANCIAL SECTOR DEVELOPMENT FINANCIAL SECTOR POLICY FINANCIAL SERVICES FINANCIAL SERVICES INDUSTRY FOREIGN MARKETS FORM OF REGULATION FUTURES FUTURES EXCHANGE FUTURES MARKETS GLOBAL CAPITAL GLOBAL CAPITAL MARKETS GLOBAL MARKETS GLOBALIZATION GLOBALIZATION OF SECURITIES GOVERNMENT AGENCIES GOVERNMENT AUTHORITIES GOVERNMENT AUTHORITY GOVERNMENT POLICY GOVERNMENT REGULATION GOVERNMENT REGULATORS GOVERNMENT RESOURCES GOVERNMENTAL REGULATION INSURANCE INTERNAL CONTROLS INTERNATIONAL BANK INTERNATIONAL CAPITAL INTERNATIONAL CAPITAL MARKETS INTERNATIONAL FINANCIAL CRISIS INTERNATIONAL ORGANIZATION INTERNATIONAL SECURITIES INTERNATIONAL STANDARDS INTERNATIONAL SWAPS INVESTMENT BANKS INVESTMENT FUNDS INVESTOR EDUCATION INVESTOR PROTECTION ISSUANCE JURISDICTION JURISDICTIONS LEGAL FRAMEWORK LEGISLATIVE REQUIREMENTS LEVEL PLAYING FIELD LIQUIDITY LOCAL EXCHANGES MARKET DEVELOPMENT MARKET EFFICIENCY MARKET INFRASTRUCTURE MARKET INTERMEDIARIES MARKET MAKER MARKET PARTICIPANTS MARKET REGULATOR MARKET SUPERVISION MARKET SURVEILLANCE MINISTER MUTUAL FUND NATIONAL SECURITIES NATIONAL STOCK EXCHANGE PARTICULAR COUNTRY PENSION PENSION FUNDS POLICY FRAMEWORK PRICE DISCOVERY PRIMARY MARKET PRIVATE MARKETS PRIVATE SECTOR DEVELOPMENT PUBLIC EQUITY PUBLIC GOOD PUBLIC INTEREST PUBLIC INTEREST OBJECTIVES PUBLIC MARKETS PUBLIC POLICY PUBLIC POLICY OBJECTIVES PUBLIC SERVICE QUALITY STANDARDS REGULATORS REGULATORY ACTIONS REGULATORY ACTIVITIES REGULATORY AUTHORITIES REGULATORY AUTHORITY REGULATORY BODIES REGULATORY BURDEN REGULATORY COMPLIANCE REGULATORY COSTS REGULATORY EFFECTIVENESS REGULATORY EFFICIENCY REGULATORY FRAMEWORK REGULATORY FRAMEWORKS REGULATORY FUNCTIONS REGULATORY INITIATIVES REGULATORY OVERSIGHT REGULATORY POLICY REGULATORY POWERS REGULATORY REGIME REGULATORY REGIMES REGULATORY REQUIREMENTS REGULATORY RESOURCES REGULATORY RESPONSIBILITIES REGULATORY SERVICES REGULATORY STANDARDS REGULATORY STRUCTURE REGULATORY STRUCTURES REGULATORY SYSTEM REGULATORY SYSTEMS RETAIL MARKETS RISK MANAGEMENT RISK MANAGEMENT SYSTEMS RULES SALE OF SECURITIES SECONDARY MARKET SECURITIES SECURITIES DEALERS SECURITIES EXCHANGE SECURITIES EXCHANGES SECURITIES INDUSTRY SECURITIES LAWS SECURITIES MARKET SECURITIES MARKETS SECURITIES REGULATION SECURITIES REGULATIONS SECURITIES REGULATORS SELF-REGULATION SET OF RULES SETTLEMENT SETTLEMENT SERVICES SETTLEMENT SYSTEMS SHAREHOLDERS STANDARDS OF CONDUCT STATUTORY AUTHORITIES STATUTORY AUTHORITY STOCK EXCHANGE STOCKS SUPERVISORY AUTHORITIES SUPERVISORY BOARD TECHNICAL ASSISTANCE TRADING TRADING MARKETS TRADING SYSTEM TRADING SYSTEMS TRANSPARENCY USE OF SECURITIES
Online Access:	http://www-wds.worldbank.org/external/default/main?menuPK=64187510&pagePK=64193027&piPK=64187937&theSitePK=523679&menuPK=64187510&searchMenuPK=64187283&siteName=WDS&entityID=000158349_20110124091038 http://hdl.handle.net/10986/3313