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Déontologue de marché : de la pratique des institutions à l'institutionnalisation des pratiques


  • Huault, Isabelle



The 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.

Suggested Citation

  • Lenglet, Marc, 2008. "Déontologue de marché : de la pratique des institutions à l'institutionnalisation des pratiques," Economics Thesis from University Paris Dauphine, Paris Dauphine University, number 123456789/103 edited by Huault, Isabelle, April.
  • Handle: RePEc:dau:thesis:123456789/103
    Note: dissertation

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    More about this item


    Courtage; Morale des affaires; Institutions financières; Autorité des marchés financiers;

    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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