If self regulation is, in fact, a workable model, then why has it been such an abject failure?
FORBES: FINRA CEO Ketchum's Speech And The Shortcomings Of Self Regulation
Sullivan was not associated with othercompliance officers in a firm where all were subject to self regulation as members of a common profession.
FORBES: New York State's Top Court Tells Wall Street Compliance Pros To Be Afraid, Be Very Afraid
If self-regulation were truly comparable to regulation by the SEC, presumably the brokerage industry would have no reason to oppose an end to self-regulation.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
Discussions also focused on the necessary conditions for self-regulation, the relation between self-regulation and defamation, different self-regulatory mechanisms, imposition of sanctions and their viability.
Leveson tries to bridge the gap between those who argue for self regulation by the press and those who call for a new law.
For example, self regulation of the brokerage industry should be reexamined.
Resistance to legal limits on the foods which cause obesity (soda taxes, limited drink size, etc) is high, and businesses profess instead a preference for self regulation.
This effort is known as "self regulation" and here is how it works: When having a conversation, we can use up a lot of mental energy trying to manage the other person's impression of us.
It emerged from interviews with media professionals and activists in Thailand that media accountability systems like the Press Council and journalist associations cannot be effective alone in a vacuum in the absence of awareness on the importance of self regulation among journalists and editors.
The whole concept of self-regulation through self-interest is now dead, especially in finance but probably in other industries as well.
FORBES: Greenspan Testifies: Our Political Language Just Changed
Regulation and self-regulation of the brokerage and money management industries is coming into question as more information is getting to investors than ever before.
Interesting examples came from the participants who spoke about the ongoing crisis in the country's media industry, the implementation of the Law on Broadcasting Activity and relations between regulation and self-regulation (co-regulation).
We know that in the United States because we have had a long history of regulation and industry self-regulation including some laws that have been overturned by our Supreme Court because they violated our precious First Amendment that guarantees all Americans freedom of speech.
The states, which rely on brokers to market their plans and often get a share of the revenue, are trying to stave off outside regulation through a little self-regulation.
Now, however, self-regulation seems merely a means of self-preservation.
ECONOMIST: Too modest. The Big Board must regulate itself no longer
Mr Padoa-Schioppa wants regulation to be less intrusive, and to move towards a system of self-regulation by participants in the market.
Reliance on self-regulation The commission is ever more willing to allow the brokerage industry to self-insure, self-adjudicate (through mandatory arbitration) and even control public access to the brokerage industry's criminal and disciplinary histories.
If self-regulation worked then presumably money managers, insurance companies and banks would be similarly self-regulated.
But while the PM said he would support "independent" regulation of the press, Mr Miliband told MPs that Labour continued to favour self-regulation.
Even Vice President Hamid Ansari regretted the development, saying that the Press Council's inability to come out with the report was "a pointer to the problems of self-regulation and the culture of silence in the entire industry when it comes to self-criticism".
This is not a bill for press regulation as Hacked Off or anyone else would wish it: It is a bill to underpin voluntary press self-regulation in the way Lord Justice Leveson wanted it.
Self-regulation of media and journalism is a generally accepted way to apply ethical principles.
There are fears that if the government rejects the GMC's own proposals, self-regulation will be scrapped.
The failure of self-regulation is apparent and investors are calling for diligent, unconflicted regulators.
We may never know because the brokerage industry will never allow an end to self-regulation.
FORBES: Why the SEC Is In Danger of Becoming Irrelevant ( February 28, 2006 )
Smaller local utilities complain that self-regulation lets the big generators tie them into loss-making long-term contracts.
The conflict of interest inherent in self-regulation may well explain the massive under-reporting we uncovered.
FORBES: Misdeeds of Stockbrokerages Under-reported (July 1, 2002)
He said this period would be the best time to implement self-regulation in the country.
应用推荐