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Erschienen in:
2009 | OriginalPaper | Buchkapitel
Regulation of Securities and Capital Markets
verfasst von : Carlos M. Peláez, Carlos A. Peláez
Erschienen in: Financial Regulation after the Global Recession
Verlag: Palgrave Macmillan UK
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There is a contrast between the SEC in the United States, operating with rules and self-regulatory organizations (SRO), such as securities exchanges, and the FSA in the United Kingdom, functioning under principles. There are proposals by both systems for significant regulatory change. SOX is the most drastic recent regulation of corporate governance by capital markets regulators. The choice of jurisdiction where to list securities is discussed in the final section.