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Financial Services Regulation & Supervision (the future): Transparency Analytics and Big Data

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One little point here I just simply refuse to refer publications by the “big four” or “big six” or whatever they call themselves today (anymore) they have lost all credibility in my view & are continuing to dig themselves into an ever deeper hole alongside the ratings agencies; irrelevant un-trusted dinosaurs. The lawyers seem to have this topic by the throat & are way ahead of the consultants.

While I am on this critique type rant – I do ask of the European Commission (Internal Markets) please stop publishing 400 page documents in this area and communicate with your citizens and stakeholders it would be a small step in the right direction.

There is sufficient material here, I think to give a flavour of thinking about the future in this space and establish a foundation for you to do your own exploration of the topic. Anyways here are some interesting references;-



The Future of United States Securities Regulation: An Essay on Regulation in an Age of Technological Uncertainty Joseph A. Grundfest

Transparency Clearing & Regulation of Derivative Securities (asymptotix)

Exchange Traded Everything (asymptotix)

The New Banking Transparency is inevitably DIY (asymptotix)

Debt, Equity and Hybrid Decoupling: Governance and Systemic Risk Implications

Henry T. C. Hu University of Texas Law School, Texas Bernard Black University of Texas Law School and McCombs School of Business, Texas

Testimony Concerning the Over-the-Counter Derivatives Markets Act of 2009 by Henry T. C. Hu

Regulating Complex Derivatives: Can the opaque be made transparent? M A H Dempster Centre for Financial Research, University of Cambridge & Cambridge Systems Associates Limited

Steven Maijoor – ESMA Chair on Transparency and Auditing etc

from Tripartite to ‘Twin-peaks’ (asymptotix)

Regulating New Banking Models that can Bring Financial Services to All Claire Alexandre, Ignacio Mas and Dan Radcliffe (Bill & Melinda Gates Foundation) August 2010

Debating responsible innovation in finance: viewpoints and commentaries Alexandre Pointier, Stéphane Delacôte, Yamina Tadjeddine, Marc Lenglet, Fabian Muniesa & Annalivia Lacoste


 A Regulatory Framework for Managing Systemic Risk  Steven L. Schwarcz

Crisis and crash: lessons for regulation Speech given by Michael Cohrs, Member of the Financial Policy Committee, Bank of England At a gathering jointly hosted by the Bank’s Agency for Scotland and Scottish Financial Enterprise 23 March 2012


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