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Running the World's MarketsThe Governance of Financial Infrastructure$
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Ruben Lee

Print publication date: 2011

Print ISBN-13: 9780691133539

Published to Princeton Scholarship Online: October 2017

DOI: 10.23943/princeton/9780691133539.001.0001

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The Allocation of Regulatory Powers Over Securities Markets

The Allocation of Regulatory Powers Over Securities Markets

(p.85) Chapter Three The Allocation of Regulatory Powers Over Securities Markets
Running the World's Markets

Ruben Lee

Princeton University Press

This chapter seeks to compare how different jurisdictions allocate regulatory powers over their securities markets. Rather than seek to present detailed descriptions of how any specific jurisdictions allocate such regulatory responsibilities, three surveys on the topic, covering various jurisdictions and institutions, are described and evaluated. The chapter is composed of four sections. The first two summarize key results from two surveys that examine the regulation of securities markets, and how regulatory powers over such markets are allocated—one prepared by the World Federation of Exchanges in 2004, and the other by the International Council of Securities Associations in 2006. The third section presents the results of a survey undertaken in 2006 for this book on how regulatory authority is allocated in eight jurisdictions with large securities markets. Conclusions are presented in the last section.

Keywords:   securities markets, financial regulation, regulatory powers, jurisdictions, World Federation of Exchanges, International Council of Securities Associations, financial markets

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