Déontologue de marché : de la pratique des institutions à l'institutionnalisation des pratiques
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AbstractThe research aims at studying the compliance of financial practices, the body of rules applicable to financial market participants. It studies the compliance function, a cornerstone of the compliance control system in place within financial services providers. Through this function, we highlight the ways in which norms are disseminated within practices, a dissemination that contributes to the institutionalisation of legitimate practices, aimed at reducing the reputational risk supported by the activities. We study how compliance officers achieve the deployment of discursive devices, making the transition from generic normative texts to specific practical contexts : such a transition can be said to perform market practices, by framing and making these legitimate. The explanation, which draws on a social-constructionist approach, has been elaborated from a long-lasting participant observation within an equity brokerage house.
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Bibliographic InfoThis book is provided by Paris Dauphine University in its series Economics Thesis from University Paris Dauphine with number 123456789/103 and published in 2008.
Courtage; Morale des affaires; Institutions financières; Autorité des marchés financiers;
Find related papers by JEL classification:
- G28 - Financial Economics - - Financial Institutions and Services - - - Government Policy and Regulation
- G24 - Financial Economics - - Financial Institutions and Services - - - Investment Banking; Venture Capital; Brokerage
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