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Thesis

Regulators as rule makers : the formation of the conduct of business rules under the Financial Services Act, 1986

Abstract:

This thesis is a study of rule making by regulators operating under the Financial Services Act 1986. It examines the formation of one set of rules, the conduct of business rules, which regulate firms authorised under the Act to conduct investment business. The thesis focuses on rule making by the core regulators, the Securities and Investments Board and the self-regulatory agencies which authorise and regulate investment firms.

The thesis considers firstly from a theoretical stance ...

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Peer review status:
Peer reviewed

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Department:
University of Oxford
Role:
Author
Type of award:
DPhil
Level of award:
Doctoral
Awarding institution:
University of Oxford
Source identifiers:
501650600
UUID:
uuid:3c47cbb3-3377-4f60-986b-98748eacdbf3
Local pid:
polonsky:6:21
Deposit date:
2017-10-05

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