IDEAS home Printed from https://ideas.repec.org/a/aza/jfc000/y2019v2i4p330-341.html
   My bibliography  Save this article

Decoupling the investment firms’ prudential regime from credit institutions

Author

Listed:
  • Ross, James

    (Head of Regulatory Developments, EMEA and APAC, Columbia Threadneedle Investments, UK)

Abstract

This paper will first summarise the European Commission and European Banking Authorities case for a proportionate prudential regime for investment firms and the case for decoupling it from the prudential regime for credit institutions. Secondly, a summary of the key themes of the proposed prudential reforms is presented. Thirdly, it will set out selected industry concerns regarding the proposed reforms; and finally, conclude that the industry will have to continuously state its case for a proportionate prudential regime for investment firms each time the new directive and regulation are reviewed.

Suggested Citation

  • Ross, James, 2019. "Decoupling the investment firms’ prudential regime from credit institutions," Journal of Financial Compliance, Henry Stewart Publications, vol. 2(4), pages 330-341, June.
    • Handle: RePEc:aza:jfc000:y:2019:v:2:i:4:p:330-341
    as

    Download full text from publisher

    File URL: https://hstalks.com/article/4066/download/
    Download Restriction: Requires a paid subscription for full access.
    File URL: https://hstalks.com/article/4066/
    Download Restriction: Requires a paid subscription for full access.
    ---><---

    As the access to this document is restricted, you may want to search for a different version of it.

    More about this item

    Keywords

    capital; fixed overheads investment firms; requirements; K-factors; liquidity; remuneration; third countries;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

    Statistics

    Access and download statistics

    Corrections

    All material on this site has been provided by the respective publishers and authors. You can help correct errors and omissions. When requesting a correction, please mention this item's handle: RePEc:aza:jfc000:y:2019:v:2:i:4:p:330-341. See general information about how to correct material in RePEc.

    If you have authored this item and are not yet registered with RePEc, we encourage you to do it here. This allows to link your profile to this item. It also allows you to accept potential citations to this item that we are uncertain about.

    We have no bibliographic references for this item. You can help adding them by using this form .

    If you know of missing items citing this one, you can help us creating those links by adding the relevant references in the same way as above, for each refering item. If you are a registered author of this item, you may also want to check the "citations" tab in your RePEc Author Service profile, as there may be some citations waiting for confirmation.

    For technical questions regarding this item, or to correct its authors, title, abstract, bibliographic or download information, contact: Henry Stewart Talks (email available below). General contact details of provider: .

    Please note that corrections may take a couple of weeks to filter through the various RePEc services.

    IDEAS is a RePEc service. RePEc uses bibliographic data supplied by the respective publishers.