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Sapkota, Krishna. "Semantic framework for regulatory compliance support." Thesis, Oxford Brookes University, 2013. https://radar.brookes.ac.uk/radar/items/a26a37b3-f65e-4d1b-aa7f-cdd20ee4727b/1.
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Regulatory Compliance Management (RCM) is a management process, which an organization implements to conform to regulatory guidelines. Some processes that contribute towards automating RCM are: (i) extraction of meaningful entities from the regulatory text and (ii) mapping regulatory guidelines with organisational processes. These processes help in updating the RCM with changes in regulatory guidelines. The update process is still manual since there are comparatively less research in this direction. The Semantic Web technologies are potential candidates in order to make the update process automatic. There are stand-alone frameworks that use Semantic Web technologies such as Information Extraction, Ontology Population, Similarities and Ontology Mapping. However, integration of these innovative approaches in the semantic compliance management has not been explored yet. Considering these two processes as crucial constituents, the aim of this thesis is to automate the processes of RCM. It proposes a framework called, RegCMantic. The proposed framework is designed and developed in two main phases. The first part of the framework extracts the regulatory entities from regulatory guidelines. The extraction of meaningful entities from the regulatory guidelines helps in relating the regulatory guidelines with organisational processes. The proposed framework identifies the document-components and extracts the entities from the document-components. The framework extracts important regulatory entities using four components: (i) parser, (ii) definition terms, (iii) ontological concepts and (iv) rules. The parsers break down a sentence into useful segments. The extraction is carried out by using the definition terms, ontological concepts and the rules in the segments. The entities extracted are the core-entities such as subject, action and obligation, and the aux-entities such as time, place, purpose, procedure and condition. The second part of the framework relates the regulatory guidelines with organisational processes. The proposed framework uses a mapping algorithm, which considers three types of Abstract 3 entities in the regulatory-domain and two types of entities in the process-domains. In the regulatory-domain, the considered entities are regulation-topic, core-entities and aux-entities. Whereas, in the process-domain, the considered entities are subject and action. Using these entities, it computes aggregation of three types of similarity scores: topic-score, core-score and aux-score. The aggregate similarity score determines whether a regulatory guideline is related to an organisational process. The RegCMantic framework is validated through the development of a prototype system. The prototype system implements a case study, which involves regulatory guidelines governing the Pharmaceutical industries in the UK. The evaluation of the results from the case-study has shown improved accuracy in extraction of the regulatory entities and relating regulatory guidelines with organisational processes. This research has contributed in extracting meaningful entities from regulatory guidelines, which are provided in unstructured text and mapping the regulatory guidelines with organisational processes semantically.
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Lavarenne, Jean. "Modelling framework for assessing nuclear regulatory effectiveness." Thesis, University of Cambridge, 2018. https://www.repository.cam.ac.uk/handle/1810/277145.
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This thesis participates to the effort launched after the Fukushima-Daiichi disaster to improve the robustness of national institutions involved in nuclear safety because of the role that the failing nuclear regulator had in the accident. The driving idea is to investigate how engineering techniques used in high-risk industries can be applied to institutions involved in nuclear safety to improve their robustness. The thesis focuses specifically on the Office for Nuclear Regulation (ONR), the British nuclear regulator, and its process for structured inspections. The first part of the thesis demonstrates that the hazard and operability (HAZOP) technique, used in the nuclear industry to identify hazards associated with an activity, can be adapted to qualitatively assess the robustness of organisational processes. The HAZOP method was applied to the ONR inspection process and led to the identification of five significant failures or errors. These are: failure to focus on an area/topic deserving regulatory attention; failure to evaluate an area/topic of interest; failure to identify a non-compliance; failure to identify the underlying issue, its full extent and/or safety significance and failure to adequately share inspection findings. In addition, the study identified the main causal chains leading to each failure. The safeguards of the process, i.e. the mechanisms in place to prevent, detect, resolve and mitigate possible failures, were then analysed to assess the robustness of the inspection process. The principal safeguard found is the superintending inspector who performs reviews of inspection reports and debriefs inspectors after inspections. It was concluded that the inspection process is robust provided recruitment and training excellence. However, given the predominant role of the superintending inspector, the robustness of the process could be improved by increasing the diversity of safeguards. Finally, suggestions for improvement were made such as establishing a formal handover procedure between former and new site inspectors, formalising and generalising the shadowing scheme between inspectors and setting minimum standards for inspection debriefs. These results were shared with ONR, which had reached the same conclusions independently, thus validating the new application for the HAZOP method. The second part of the thesis demonstrates that computational modelling techniques can be used to build digital twins of institutions involved in safety which can then be used to assess their effectiveness. The knowledge learned thanks to the HAZOP study was used in association with computational modelling techniques to build a digital twin of the ONR and its structural inspection process along with a simple model of a nuclear plant. The model was validated using the face-validity and predictive validation processes. They respectively involved an experienced ONR inspector checking the validity of the model’s procedures and decision-making processes and comparing the model’s output for oversight work done to data provided by the ONR. The effectiveness of the ONR was then evaluated using a scenario where a hypothetical, newly discovered phenomenon threatens the integrity of the plant, with ONR inspectors gradually learning and sharing new information about it. Monte-Carlo simulation was used to estimate the cost of regulatory oversight and the probability that the ONR model detects and resolves the issue introduced before it causes an accident. Different arrangements were tested and in particular with a superintending inspector reviewing inspection reports and a formal information sharing process. For this scenario, these two improvements were found to have a similar impact on the success probability. However, the former achieves it for only half the cost.
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Arun, Nikita. "Reconceptualizing Flow from a Self-Regulatory Framework." Diss., Virginia Tech, 2016. http://hdl.handle.net/10919/73807.
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The flow experience refers to a state characterized by complete involvement in a task. According to flow theory, the flow state is preceded by three antecedents, skill-task match, goals, and feedback. These antecedents lead to a flow state, which is exemplified by six components, merging of action and awareness, centering of attention, loss of self-consciousness, temporal distortion, sense of control, and autotelic nature. In a flow state, individuals persist on a task without regard or awareness of themselves or their surroundings. Currently, flow is a two-stage model in which the three antecedents lead to a flow state. Flow theory is severely limited as no mediating processes have been specified between flow antecedents and the flow state. The missing mediating processes in flow theory do not allow for empirically examining testable a priori predictions. Further, failure to specify a mediator brings into question the current flow antecedents and components. The aim of this study was to recast flow theory within a self-regulation framework to ameliorate these issues.
I borrow from the self-regulation literature and propose that “feeling right” mediates the relationship between flow antecedents and components. Feeling right is a positive cognitive experience that arises from successful regulatory fit. I further posit that the antecedents of flow are the antecedents of feeling right, motivational orientation and goal pursuit strategies. Finally, I propose that the flow state only be characterized by four components, merging of action and awareness, centering of attention, loss of self-consciousness, and temporal distortion. Thus, in my revised model of flow, alignment between motivational orientation and goal pursuit will lead to feeling right, which will then lead to a flow state, characterized by the four aforementioned components. A secondary goal of this study was to examine the relationship between flow and task performance. I hypothesized that individuals in a state of regulatory fit would experience flow, operationalized by intense concentration, time distortion, and loss of self-consciousness. I further hypothesized that flow would mediate the relationship between regulatory fit and performance and that type of fit would influence performance quality or quantity. I utilized an experiment design to test this revised flow model in the context of a computer game. A path model was conducted to test these predictions.
Results revealed that individuals in a state of regulatory fit exhibited greater time distortion and loss of self-consciousness. However, flow did not mediate the relationship between fit and performance. Based on these results, flow can successfully be applied to a self-regulatory framework. There is initial evidence that motivational orientation and goal pursuit, i.e., regulatory fit, are causal antecedents to a flow state. There was stronger evidence for the relationship between regulatory fit and flow when behavioral flow indicators were used. Future research should focus on identifying behavioral flow indicators and continue to explore the flow construct within a self-regulatory framework.Ph. D.
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Madise, Sunduzwayo. "Developing an independent regulatory framework for the financial sector in Malaŵi." University of the Western Cape, 2011. http://hdl.handle.net/11394/2902.
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Kentzoglanakis, Kyriakos. "Reconstructing gene regulatory networks : a swarm intelligence framework." Thesis, University of Portsmouth, 2010. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.523619.
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Yin, Susan Sushu. "A global regulatory framework for transnational securities markets." Thesis, Queen Mary, University of London, 2012. http://qmro.qmul.ac.uk/xmlui/handle/123456789/3361.
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Developments in the investment securities markets have played an important role in the growth and globalization of the world’s financial markets. Securities market participants, investment banks and hedges funds in particular, were also in the epicentre of the global financial crisis 2007~2010 (GFC). The globalization-to-crisis process has highlighted the problems of regulating the globalizing transnational securities markets on the basis of national laws alone. More precisely, the three global-level problems in securities regulation are: regulatory divergence and conflicts, gaps in cross-border supervision, and, spill-over of systemic risks. This thesis contributes to the post-GFC regulatory reforms debate by establishing the concept of a Global Regulatory Framework (GRF). The GRF consists of a flexible governance structure within which national regulators and policy makers may interact with counterparts, either directly or through regional and global bodies, in seeking to address cross-border or substantive issues of securities regulation. The GRF also comprises a framework of tools for regulatory and supervisory cooperation, using which solutions could be reached for the global-level problems. The GRF is essentially soft law by nature. As a result, while the structure and mechanisms provided by the GRF contribute to securities market efficiency and stability, national sovereignty is also duly upheld. The problems of implementation and legitimacy pertaining to soft law processes are addressed, with recommendations for an implementation structure and principles of ex ante participation and transparency developed. The thesis comprises three Parts, with two Chapters in each, followed by a seventh Chapter of overall Conclusions. Starting from the analysis of the three global-level regulatory problems in the fast globalizing securities markets, the thesis builds on the experience from the EU and US, and other global actors, including the IMF, FSB and IOSCO, to produce a multi-layered structure for the governance of the securities markets. The GRF is designed to accommodate and engender different functions and forms of collective actions, because flexibility is crucial for addressing new cross-border issues arising from the often turbulent transnational securities markets.
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Jorshari, Fatemeh Zarrabi. "A semantic based framework for software regulatory compliance." Thesis, University of East London, 2016. http://roar.uel.ac.uk/6366/.
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Software development market is currently witnessing an increasing demand for software applications conformance with the international regime of GRC for Governance, Risk and Compliance. In this thesis, we propose a compliance requirement analysis method for early stages of software development based on a semantically-rich model, where a mapping can be established from legal and regulatory requirements relevant to system context to software system goals and contexts. This research is an attempt to address the requirement of General Data Protection Regulation (GDPR, Article 25) (European Commission) for implementation of a "privacy by design” approach as part of organizational IT-systems and processes. It requires design of data protection requirements in the development of business processes for products and services. The proposed semantic model consists of a number of ontologies each corresponding to a knowledge component within the developed framework of our approach. Each ontology is a thesaurus of concepts in the compliance and risk assessment domain related to system development along with relationships and rules between concepts that compromise the domain knowledge. The main contribution of the work presented in this paper is a novel ontology-based framework that demonstrates how description-logic reasoning techniques can be used to simulate legal reasoning requirements employed by legal professions against the description of each ontology. The semantic modelling of each component of framework can highly influence the compliance of developing software system and enables the reusability, adaptability and maintainability of these components. Through the discrete modelling of these components, the flexibility and extensibility of compliance systems will be improved. Additionally, enriching ontologies with semantic rules increases the reasoning power and helps to represent rules of laws, regulations and guidelines for compliance, also mapping, refinement and inheriting of different components from each other. This novel approach offers a pedagogically effective and satisfactory learning experience for developers and compliance officers to be trained in area of compliance and query for knowledge in this domain. This thesis offers the theoretical models, design and implementation of a compliance system in accordance with this approach.
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Kannan, Ramachandran Srividya. "Establishing a regulatory framework for distributed antenna systems." Connect to online resource, 2008. http://gateway.proquest.com/openurl?url_ver=Z39.88-2004&rft_val_fmt=info:ofi/fmt:kev:mtx:dissertation&res_dat=xri:pqdiss&rft_dat=xri:pqdiss:1456676.
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Ogunba, Adebola. "Sustainable Groundwater Management in Lagos, Nigeria: The Regulatory Framework"." Thesis, Université d'Ottawa / University of Ottawa, 2016. http://hdl.handle.net/10393/34437.
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This doctoral research focuses on groundwater degradation in Lagos, Nigeria. Groundwater is a critically important natural resource in Lagos that is presently troubled by pollution that emanates from solid waste and wastewater. The city generates 10,000 metric tons of waste and 350 million gallons of wastewater daily, all of which are improperly managed and are heavily polluting its groundwater. This direct environmental pollution is aggravated by indirect problems of over-urbanization, and legal and institutional shortcomings. Over-urbanization in Lagos has resulted into a monumental population of 21 million people in the tiny city, which generates the enormous quantities of solid waste and wastewater. The population places a tremendous burden on the city’s water resources, forcing residents to revert to groundwater which is suffering the plight of pollution, and hence the concern of this research. The pollution problem is worsened by civic apathy to environmental matters, and unresolved by a nascent water sector whose evolving governance structures do not adequately address the multi-dimensional pollution problem. In the final analysis, the absence of holistic and comprehensive groundwater legislation that addresses all these problems challenges the sustainability of this vital resource.
The research adopts a cross-disciplinary approach by combining several methodologies: historical legal analysis, important insights from scientific studies and from sociological studies that rationalize the demographical movement to Lagos which is at the root of the pollution problem; field work investigation to confirm the fact, source, and extent of polluted groundwater; and a comparative approach by examining the European Union’s legal framework for managing groundwater and waste in order to extract sustainable practices for adoption in Lagos. It concludes with a range of recommendations for incorporation into a legal framework that will help to improve the sustainability of the groundwater resource. The study contributes to knowledge by attempting to close a vacuum, which is the paucity of studies that investigate underlying social factors that trigger groundwater pollution, and also by providing broad and holistic recommendations for law reform. It addresses the role of law in remediating the pollution, managing the effects of over-urbanization and overpopulation on groundwater, strengthening institutions, and eliminating legal inadequacies.
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Ibrahim, Wan Azlina Binti. "Regulatory framework for adjudicators in the Malaysian construction industry." Thesis, University of Strathclyde, 2016. http://oleg.lib.strath.ac.uk:80/R/?func=dbin-jump-full&object_id=27154.
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Following the precedent move by the United Kingdom when it enacted the Housing, Grants, Construction and Regeneration Act 1996 (HGCRA 1996) in 1998, the enactment of the Construction Industry Payment and Adjudication Act 2012 (CIPA 2012) in 2014 is expected to improve the cash flow problems in the construction industry in Malaysia. Parallel with statutory needs to resolve disputes via adjudication, the statutory adjudicator exists to conduct the adjudication process. However, in contrast with the Building and Construction Industry Security of Payment Act 2004 (SOPA 2004) in Singapore, HGCRA 1996 and CIPA 2012 does not provide a mandatory regulatory framework for adjudicators. In view of that issue, the author aims to identify and test an appropriate regulatory framework for adjudicators in Malaysia by comparing and contrasting the existing regulatory framework in the UK, Singapore, New Zealand and Malaysia. In addition, the author will also explore the current regulatory framework for construction professionals and legal practitioners since both professions made up more than 90% of adjudicators in the UK, Singapore, New Zealand and Malaysia. Towards the journey to achieve the aim of the research, the author will start by exploring the relevant underlying theories of existing regulatory framework for construction professionals, legal practitioners and adjudicators in the UK, New Zealand, Singapore and Malaysia. The author will also address and articulate the theory behind the existence of adjudicators and the fundamental theory on relevant skill and knowledge for adjudicators. These findings will help to support the process of developing theoretical regulatory framework that will be used as a guide to identify an appropriate and credible regulatory framework for adjudicators in Malaysia. With the theoretical regulatory framework in hand, the author has sought to test empirically the framework practicality within the Malaysian context via a small scale of evaluative studies. The evaluative studies proven to be a big step to understand the acceptance of the advocated theoretical regulatory framework for adjudicators. Ultimately, it can be concluded that the propose regulatory framework for adjudicators in Malaysia is tested and approved via the small scale studies.
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Kohl, Uta, and n/a. "An analytical framework on regulatory competence over online activity." University of Canberra. Law, 2002. http://erl.canberra.edu.au./public/adt-AUC20050509.105817.
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This thesis examines the application of traditional jurisdictional doctrines to
online activity. It analyses not only to what extent, and why, the Internet
challenges existing principles allocating regulatory competence, but the
factors which shape, and must shape, the regulatory responses to these
challenges, in an attempt to create an analytical framework within which the
search for viable solutions can begin.
The overarching argument made in this thesis is that the keys to viable future
Internet regulation are deeply embedded in past and present regulation and
that we cannot simply look for the most efficient legal solutions, regardless of
how they fit within existing laws. This would be inconsistent with the law's
basic function to answer the need for certainty and predictability. Building
upon this fundamental premise, it is further argued, and shown, that an
understanding of the public law - private law dichotomy within the existing
jurisdictional framework, as well as its deeply entrenched status, is essential
for appreciating the severity of the jurisdictional problems caused by the
Internet and actual and likely regulatory responses to them. It is argued that
this explains why both sets of rules have consistently accommodated
transnational online activity differently, giving rise to different problems -
problems which ultimately touch upon fundamental legal notions, such as
formal justice, the rule of law or obedience to law which cannot but set further
outer parameters of the search for solutions to the jurisdictional problems
triggered by the Internet.
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Abalkhil, Waleed Abdulaziz Abdullah. "Islamic finance in Saudi Arabia : developing the regulatory framework." Thesis, University of Exeter, 2018. http://hdl.handle.net/10871/33596.
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Saudi Arabia and Islam have had a very close relationship since the establishment of Saudi Arabia. Thus, Saudi Arabia chose Islam to govern all its laws. Since 1952, with the discovery of oil, the country has witnessed a huge development including the establishment of the Saudi Arabian Monetary Authority (SAMA) as a Central Bank. SAMA was expected to only allow financial activities that did not conflict with the teachings of Islamic law, as stated in its Charter. However, since its existence, SAMA has supervised and licensed conventional banks that charge Riba (interest or usury) and all the regulations made by SAMA have been designed to deal with conventional banks. Consequently, there is a difference between the law, Islamic law, and the practice. Over the years a dramatic improvement in Islamic finance has been realised. Many countries and international organisations that specialised in Islamic finance have set especial regulations that suit such finance. Nonetheless, Saudi Arabia as a regulatory body preferred not to join this trend and continued adopting and practising the same regulations that were made for conventional finance. This thesis seeks to develop the regulatory framework towards Islamic finance by sheding light on the legal challenges and difficulties that may encounter Islamic finance in Saudi Arabia, which may prevent the Kingdom of Saudi Arabia from being the leading country for developing Islamic finance. To help in identifying these challenges, an Islamic financial product Sukuk (Islamic bonds) is chosen to be a case study to show some of the challenges in practice. The thesis firstly discusses Islamic principles toward finance, then the legal environment of Saudi Arabia and how Islamic finance is practised in the Kingdom. It then introduces the new development in the legal environment in response to the Saudi Vision 2030 which can be a tool to help solving the obsricales that Saudi Arabia is encountering. Then the thesis discusses some challenges related to sharia boards in financial institutions, such as not having sharia governance as part of the corporate governance of financial institutions that market their products as being compliant with sharia law; in addition, the absence of a Central Sharia Board that should help in ensuring the conformity of financial products to sharia law. The thesis proposes that the regulators should develop and adopt especial regulations framework that could help the development of Islamic finance. The thesis defines Sukuk and shows how it differs from other financial instruments in conventional finance. Then, it identifies some of the challenges that face Sukuk and its development in the country. Moreover, it looks at a very recent development in the Saudi legal system, which is in response to the Saudi Vision 2030 and the recent interest that was shown by decision-makers, such as the Chairman of the CMA, the Minister of Commerce and Industry, the Deputy Minister for Internal Trade, and also both the Governor and Vice-Governor of the SAMA, in response to the Vision 2030 which could contribute to the development of Islamic finance. As far as the researcher is aware, hardly any studies have addressed this issue with respect to the new development that Saudi Arabia is currently witnessing in response to the Saudi Vision 2030 and the recent developments taking place in neighbouring countries which broadly share similar cultural and religious values. Finally, the thesis proposes some recommendations to develop Islamic finance including some guidelines for establishing a Central Sharia Board, and also, a sharia supervisory governance for Islamic financial institutions which should have a positive effect on Islamic finance in the country.
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Д`яконова, Ірина Іванівна, Ирина Ивановна Дьяконова, Iryna Ivanivna Diakonova, and T. Scherbina. "Regulatory framework in emerging markets: outlining the crisis impact." Thesis, Українська академія банківської справи Національного банку України, 2012. http://essuir.sumdu.edu.ua/handle/123456789/63365.
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For the past few years the financial sector in many countries has undergone significant transformations that affected the activities of financial regulators.
To ensure the efficiency of the financial sector in the context of the new financial architecture it’s useful to study the foreign experience of financial systems supervision organization.
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Kurosawa, Kaoru. "Environmental regulatory reform for Japanese fishing port development : adopting U.S. regulatory framework to the Japanese system." Thesis, Massachusetts Institute of Technology, 1997. http://hdl.handle.net/1721.1/68328.
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Mynhardt, Ronald Henry. "Regulatory compliance : a framework for South African banks / R.H. Mynhardt." Thesis, North-West University, 2008. http://hdl.handle.net/10394/4117.
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In April 2005, after lengthy discussions and much debate with banks around the world, the Basel Committee issued its paper entitled "Compliance and the compliance function in banks". This paper provides detailed compliance principles to which banks should adhere. Regulation 47(1) of the Regulations relating to the Banks Act, Act 94 of 1990, states that: A bank shall establish an independent compliance function as part of its risk-management framework, in order to ensure that the bank continuously manages its regulatory risk, that is, the risk that the bank does not comply with applicable laws and regulations or supervisory requirements.
The regulations further require that a compliance officer of the bank shall head an independent compliance function and that the compliance function shall have adequate resources. The SARB has expressed its dissatisfaction in the past with the level of compliance among banks in South Africa and has ordered the different boards of directors to rectify the situation as a matter of urgency. This requirement compelled banks to spend more and more money on compliance, resulting in complaints from the banks about the cost of compliance. Media reports focussing on the increase in the cost of compliance have aggravated the situation even further. The cost of compliance is divided into two broad categories, namely the cost associated with performing compliance, and the cost of non-compliance.
The problem that this study thus addresses is how to enable the compliance functions in the banks in South Africa to manage regulatory compliance with the relevant regulatory requirements at a measurable cost. The main objective of this study was therefore to provide a regulatory compliance framework for implementation by banks in South Africa.
In order to achieve the stated objective, a specific methodology was formulated, namely:
• The regulatory universe in South Africa was reviewed in order to identify all the acts that govern the activities of banks.
• The direct cost of non-compliance was identified by reviewing the specific sections of the different acts in the regulatory universe where non-compliance is an offence. Included in this investigation was research into the possible indirect cost ol non-compliance such as loss of revenue due to reputational damage caused by a bank's non-compliance.
• Compliance officers of banks in South African were interviewed in order to ascertain the cost of compliance to these banks. Questions aimed at obtaining specific information pertaining to personnel cost, infrastructure cost, direct regulatory cost and operational cost were included.
• A review of the international perspective on regulatory compliance was performed and attention was paid to supervisory structures and current trends in regulatory compliance in the G10 countries.
• A regulatory compliance framework was developed by incorporating the information obtained in the research. This framework was tested against Regulation 47 of the Regulations relating to banks as well as the Basel principles on compliance to ascertain whether it met the specific regulatory standards.
• Legislative changes and other incentives were proposed in order to enhance the management of compliance risk.Thesis (Ph.D. (Risk Management))--North-West University, Potchefstroom Campus, 2009.
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Grobler, Chazanne. "A regulatory framework for psycho-legal assessments in South Africa." Thesis, University of Pretoria, 2020. http://hdl.handle.net/2263/78604.
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The study demonstrates that mental health professionals, more specifically psychiatrists and psychologists, conducting psycho-legal assessments in South Africa, play a pivotal role in assisting the courts in ensuring that justice is done. Mental health professionals are involved in numerous matters, ranging from criminal cases, such as conducting psycho-legal assessments regarding criminal capacity, civil proceedings concerning care and contact evaluations, personal injury claims, and many more. In reviewing case law and the complaints lodged with, and rulings made by, the Health Professions Council of South Africa, it is evident that psycho-legal assessments are often problematic. The problems relate to an inadequate level of performance in evaluations and testimony and unethical behaviour. It is argued that the lack of regulation of psycho-legal assessments is one of the main contributing factors in the increasing challenges experienced.
The study examines the current regulatory framework regarding psycho-legal assessments in South Africa by first examining the procedural and evidentiary rules that control the admissibility and evaluation of expert testimony, and secondly, the self-regulation by the mental health professions. To address the shortcomings, the regulatory mechanisms in the international context is analysed by turning to the United Kingdom as well as the United States of America. Both jurisdictions have strong ties to South Africa and a rich history concerning regulating psycho-legal assessments and psychological and psychiatric evidence in general. Drawing from the regulatory frameworks in the comparator countries recommendations for the South African context is made. The recommendations take a multi-level approach, focusing on the rules of evidence and other procedural rules within the legal system and self-regulation of mental health professions.Thesis (LLD)--University of Pretoria, 2020.
Public Law
LLD
Unrestricted
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Bosse, Kevin M. "A Framework Gene Regulatory Network Controlling Neural Crest Cell Diversification." The Ohio State University, 2010. http://rave.ohiolink.edu/etdc/view?acc_num=osu1285771962.
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Adegbite, Adenrele Jonathan. "Exploring Regulatory Framework Guiding Bank Employees' Career Advancement in Nigeria." ScholarWorks, 2019. https://scholarworks.waldenu.edu/dissertations/7781.
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The current global labor market tends to be knowledge based and workers are consistently required to develop new competencies and adapt to changing environments. Bank employees in Nigeria do not have training that sustains future employment in other sectors, largely as a result of regulatory requirements that impede the development of soft skills and life-long learning opportunities. Little attention has been given to the lived experiences of these bank employees who are currently faced with the challenges posed by globalization and technology adoption. Guided by institutional analysis and development theory (IAD), this exploratory study examined the regulatory framework guiding bank employee career advancement in Nigeria. Qualitative data were collected from a total of 57 participants using semi-structured interviews administered on the three population samples drawn from the regulatory institutions, a pool of ex and current bank staff with a minimum of 8 years in the banking sector. Transcribed data were open coded, and then subjected to a thematic analysis procedure. The results offered a correlative effect and social cost of poor employee training to national development. The results indicated that competitive edge of Nigerian bank workers can be enhanced through acquisition of skills and training that will boost post-banking career transition opportunities. The positive social change implications of this study include recommendations to the three critical demographic blocks; the regulators, the banks and the bank employees. Recommendations of this study can improve the lives of many bank employees including those in other sectors, the economy, and the lives of those in the community.
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Alkhateeb, Ali. "Libyan Detention Centers : Libya’s Legal and Regulatory Framework on Migration." Thesis, Umeå universitet, Juridiska institutionen, 2019. http://urn.kb.se/resolve?urn=urn:nbn:se:umu:diva-165275.
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Gladfelter, Jessica Anne. "Self-regulation and Regulatory Focus Theory: Regulation in Response to Goal Discrepancy Feedback in a Regulatory Focus Framework." Diss., Virginia Tech, 2020. http://hdl.handle.net/10919/99170.
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Regulatory focus theory is a motivational orientation theory encompassing two regulatory systems: promotion focus and prevention focus. Promotion focused individuals tend to seek success, implement risky tactics, and an eager goal pursuit. Prevention focused individuals tend to avoid failure, implement conservative tactics, and a vigilant goal pursuit. Scholer and Higgins (2011) propose an exception to the rule where individuals break the natural RF alignment, which individuals typically seek to maintain. Scholer and Higgins (2011) proposed that promotion (prevention) focused individuals in a state of gain (loss) become conservative (riskier) in their behavior while maintaining an eager (vigilant) goal pursuit. However, literature supporting this theory is between-subjects in methodology and does not measure GP strategy, only risk.
The current study proposes two competing regulation patterns: 1) When individuals change in their risk, they maintain their GP strategy 2) when individuals change in their risk, their GP strategy also changes, becoming more eager with higher levels of risk and more vigilant with more conservative behavior. Therefore, the following study examined how tactics and GP strategies change within-person when experiencing loss and gain states. Specifically, examining change in risk and GP after positive and negative goal discrepancy feedback. In order to examine this self-regulation, participants who were primed to be in either a promotion or prevention focused state played three rounds of a simple risk-measuring game. Even though the RF prime did not produce the expected results, there was regulation occurring. After recategorizing the baseline risk and GP to create a high risk /eager GP and a low risk /vigilant GP groups, there was support for the idea that as behavior changes to be riskier, so too does GP change to become more eager. This finding is in contradiction to Scholer and Higgins' (2011) theory that there is a cognitive reappraisal of what it means to be risky, such that it can fit within the vigilant goal pursuit strategy. Additionally, latent profile analyses further supported the second of the competing regulation patterns, in that higher risk-taking corresponded with eager GP, and more conservative behaviors led to greater levels of vigilant GP. Future directions and limitations are discussed.Doctor of Philosophy
Regulatory focus theory has two motivational orientations: promotion focus encompassing those who seek success and avoid the absence of success and prevention focus encompassing those who avoid failure and seek the absence of failure. Scholer and Higgins (2011) describe a level approach to regulatory focus where individuals typically seek alignment throughout these levels. However, they note an exception to the rule where individuals implement tactics incongruent with their current regulatory focus system. They propose that individuals maintain this incongruency by cognitively redefining the tactics to align with the current regulatory focus system. Drawing from this exception to the rule, and from Lord et al.'s (2010) self-regulation model, two competing self-regulation patterns were examined: 1) When individuals change in their risk behaviors, they maintain their current regulatory focus system 2) when individuals change in their risk behaviors, it causes bottom-up self-regulation and changes individuals' regulatory focus system to match the risk behavior. In order to test these competing regulation patterns, participants completed a writing task meant to place them in either a promotion or prevention regulatory focus state. They then played three rounds of a simple risk-measuring game. In addition, after each round of the game, the participants' goal pursuit strategies were measured to see if the general strategy changed as risk behaviors changed. In order to necessitate a change in in levels of risk, between rounds, participants were given negative and positive feedback (in a random order). Negative feedback was meant to cause individuals to be risky and positive feedback was meant to lead to more conservative behaviors from the participants. Results indicated the regulatory focus prime did not work, however, after examining exploratory analyses, there was some support for the idea that individuals implement self-regulation in order for their regulatory focus system to match their behaviors.
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Thani, Nik Norzrul. "Legal aspects of the regulatory framework of the Malaysian financial system." Thesis, SOAS, University of London, 1993. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.243857.
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Santos, Maria Ana e. Castello-Branco dos. "Backtesting of a credit scoring system under the current regulatory framework." Master's thesis, Instituto Superior de Economia e Gestão, 2017. http://hdl.handle.net/10400.5/14152.
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Mestrado em Ciências ActuariaisDesde a implementação do atual acordo de supervisão financeira internacional, os bancos podem usar as suas estimativas internas de avaliação de risco de crédito como base para o cálculo dos ponderadores de risco e requisitos de capital. Consequentemente, com vista a assegurar a estabilidade e solvabilidade das instituições de crédito, torna-se crescente a necessidade de um sistema de validação robusto, para garantir a consistência e precisão dos sistemas de notação interna. Existem vários estudos sobre o processo de validação de estimativas internas. No entanto, aprofundamento e acordo nesta matéria são ainda insuficientes, nomeadamente no que diz respeito à avaliação da precisão das estimativas internas para os parâmetros de risco de crédito, com o objectivo de atingir a estabilidade dos requisitos de capital. A calibração das probabilidades de incumprimento representa um dos procedimentos de validação quantitativa inerentes ao exercício de backtesting. Neste trabalho, será explorado o processo de calibração das probabilidades de incumprimento recorrendo a um modelo de scoring para exemplificar como é feita a avaliação da capacidade preditiva destas estimativas internas numa carteira de Crédito à Habitação. Para superar o desafio de desenvolver um sistema de validação adequado, o presente projeto tem em consideração o atual e amplo quadro regulatório proveniente do Comité de Basileia para a Supervisão Bancária (BCBS) e da Autoridade Bancária Europeia (EBA), alguns artigos relevantes nesta matéria e aquelas que são consideradas as melhores práticas de gestão do risco de crédito.
Since the implementation of the current regulatory framework within the global financial system, banks are allowed to rely in a system using their own estimates for credit risk parameters as inputs for the calculation of risk weights and capital requirements. Consequently, in order to assure the stability and soundness of credit institutions, the need for a robust validation system to ensure accuracy and consistency of internal rating systems is greater than ever before. Although several studies on validation processes already exist, a deeper understanding and agreement on this subject is required, namely in what concerns the accuracy assessment of internal estimates for credit risk parameters, in order to achieve capital requirements stability. Calibration of default probabilities represents one of the quantitative validatio procedures underlying the exercise of backtesting that must be performed on a regular basis. The present text discusses the probability of default (PD) calibration process using a scoring model to illustrate the assessment of the predictive power of these internal estimates in a residential mortgage portfolio. To overcome the challenge of developing an adequate validation scheme in compliance with the current regulatory framework, this project project keeps in mind the legislation from Basel Committee on Banking Supervision (BCBS) and European Banking Authority (EBA), some relevant studies developed on this subject and those that are consider to be the best practices of credit risk management.
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Mittra, James. "Genetic information, life assurance, and the UK policy and regulatory framework." Thesis, University of Warwick, 2004. http://wrap.warwick.ac.uk/106450/.
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This thesis provides the first extensive sociological analysis of the genetics and life assurance debate in the UK. It uses data from original qualitative interviews, as well as various policy documents and reports, to investigate the likely implications of genetic information for life assurance provision, reveal the narrative strategies used by key stakeholders as they account for their concerns on the issue, and evaluate the efficacy of the policy and regulatory framework. It also attempts to evaluate the suitability of the citizens’ jury model as an alternative to existing decision-making procedures. The thesis begins by revealing the most likely social, commercial, legal, and ethical implications of allowing insurers to access new kinds of genetic information. A history of insurance, risk and probability is used as a starting point to challenge many of the pervasive fears and anxieties. This part of the thesis critically analyses the social and philosophical basis of such contested notions as ’discrimination’, 'social exclusion’, 'genetic information', and ‘social justice’, and begins to reveal some of the key strategies of stakeholders in the debate. The thesis then analyses stakeholder accounts of their concerns, and begins to reveal the ways in which they draw on a broad narrative repertoire to give their beliefs a degree of moral legitimacy/coherency. The impact this may have on the quality of debate is also investigated. Following from the analysis of stakeholder accounts, the thesis proceeds to investigate the nature of the policymaking and regulatory framework. Through a sociological analysis of the work of various advisory committees, which led to the implementation of a moratorium on insurers' use of genetic information, the thesis investigates how fair and equitable the overall political process has been, particularly in terms of the treatment of stakeholder evidence. It also assesses the role of the public and media in shaping the political response to this issue. The thesis concludes by assessing the citizens’ jury as suitable procedures for resolving the conflicts around genetic information and life assurance. Both the potential advantages and persistent problems with the model are critically evaluated.
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Hofmann, Ariane Leoni. "A Stochastic Framework to Model Extrinsic Noise in Gene Regulatory Networks." Thesis, Virginia Tech, 2012. http://hdl.handle.net/10919/76841.
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Stochastic modeling to represent intrinsic and extrinsic noise is an important challenge in molecular systems biology. There are numerous ways to model intrinsic noise. One framework for intrinsic noise in gene regulatory networks was recently proposed within the discrete setting. In contrast, extrinsic perturbations were rarely modeled due to the complex mechanisms that contribute to its emergence. Here a discrete framework to model extrinsic noise is proposed. The interacting species of the model are represented by discrete variables and are perturbed to represent extrinsic noise. In particular, they are subject to a discretized lognormal distribution. Additionally, a delay is imposed on the update with a certain probability.
These two perturbations represent global extrinsic noise and pathway-specic extrinsic noise. It leads to large variations in the concentration of proteins, which is consistent with an existing continuous way of modeling extrinsic fluctuations. The framework is applied to three different published discrete models: the cell fate of lambda phage infection of bacteria, the lactose utilization system in E. coli, and a signaling network in melanoma cells. The framework captures factors that signicantly contribute to the random decision between lysis and lysogeny as well as explains the bistable switch in the model of the lac operon. Finally, a feed-forward loop analysis is conducted by measuring and comparing the noise level in the target protein of feed-forward loops. This analysis reveals the ability of certain feed-forward loops to attenuate or amplify fluctuations, dependent upon various levels of noise. In conclusion, this thesis aims to resolve the question of how the extrinsic noise can be modeled and how biological systems are able to maintain functionality in the wake of such large variations.Master of Science
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Sunduzwayo, Madise. "Developing an independent regulatory framework for the financial sector in Malaŵi." Thesis, University of the Western Cape, 2011. http://hdl.handle.net/11394/1422.
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Yusuf, Sabrina Gulam Silva. "Re-thinking the corporate social responsibility regulatory framework in South Africa." University of the Western Cape, 2018. http://hdl.handle.net/11394/6821.
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Magister Legum - LLMCorporate governance is a principle that has had multiple evolving definitions. The Cadbury Report (also known as Financial Aspects of Corporate Governance) of 1992 is a report that sets out recommendations for best practice of a company board. Although the Cadbury Report was ideally formulated to apply to companies in the United Kingdom, its recommendations have formed the basis of many international codes over the years. It refers to corporate governance as the "system by which companies are directed and controlled". Solomons also explores the definitions of corporate governance in her book titled 'Corporate Governance and Accountability'. She acknowledges the existence of ‘narrow’ definitions and ‘broader’ definitions. Narrow definitions are more concerned with corporate accountability to a company’s shareholders. On the other hand, broader definitions seek to identify corporate accountability to shareholders and stakeholders. This definition encompasses a larger group of people, which include the society at large, future generations and the environment. For the purposes of this research, the broader definition will be utilised. Simply put, corporate governance refers to the practice in which companies are managed and controlled. This is achieved through balancing the interests of the many stakeholders of a company such as; employees, shareholders, suppliers, management, the government and many others. Corporate governance aims to create an environment whereby the company is managed in a way which promotes the interests of the stakeholders. These include, but are not limited to; the balance of powers in a company, compliance with laws and regulations, identification and management of potential risks, and ensuring accountability for its actions. In a nutshell, corporate governance can be viewed as the responsible leadership, governing and sustainability of a company. On the other hand, Corporate Social Responsibility (CSR) can be viewed as a branch of corporate governance and this shall be discussed further below. In many parts of the world, CSR functions as a voluntary code of conduct. This means that corporate entities are usually guided by a set of principles of good intent. Corporate entities are expected to self-regulate their affairs with their social effects in mind. Some scholars strongly believe that the voluntary nature of CSR is its very essence. It is a value that has to be realized through free will and philanthropy. However on the other hand, other scholars believe that this flexibility can be misused.
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Gomachas, Roswitha Mildred Melina. "Cryptocurrency intermediation in Africa: towards a regulatory framework for cryptocurrency intermediaries." University of the Western Cape, 2019. http://hdl.handle.net/11394/6836.
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Magister Legum - LLMThere is a lot of speculation regarding potential benefits that the adoption of cryptocurrency use and cryptocurrency intermediation may have for the African continent due to the macro-economic instability of African financial markets caused by hyperinflation; high rate of unbanked populations; and the need for an alternative currency to the weak; and sometimes unavailable and unreliable African fiat money. Preiss notes that the intangible nature of cryptocurrency means that governments have no access to such cryptocurrency and cannot physically remove wealth from the citizens. He further notes that cryptocurrency not only provides a solution to the unbanked but is also a method of allowing economically and politically subjugated populations to control their wealth. Cryptocurrency intermediation in the form of cryptocurrency remittance services have been established in Africa as an alternative to Western Union, MoneyGram and many others. Examples include cryptocurrency remittance and transfer services provided by cryptocurrency-based intermediaries, which are third parties facilitating cryptocurrency related transactions, and in some cases provide storage of cryptocurrency to their users. In Africa, examples of such cryptocurrency-based intermediaries include, such as BTCGhana; BitPesa and Belfrics.
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McKim, Erica Patricia. "The evolution of private policing in Canada, towards an effective regulatory framework." Thesis, National Library of Canada = Bibliothèque nationale du Canada, 2000. http://www.collectionscanada.ca/obj/s4/f2/dsk2/ftp01/MQ48428.pdf.
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Andrade, Alessandra Arrojado Lisbôa de. "Navigating into the new millennium : the global navigation satellite system regulatory framework." Thesis, National Library of Canada = Bibliothèque nationale du Canada, 2000. http://www.collectionscanada.ca/obj/s4/f2/dsk2/ftp03/MQ64258.pdf.
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Wong, Loi-loi Lilian, and 王萊萊. "A review of the regulatory framework for unit trusts in Hong Kong." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 1990. http://hub.hku.hk/bib/B31264803.
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Huang, Shao-shan Carol. "A constraint optimization framework for discovery of cellular signaling and regulatory networks." Thesis, Massachusetts Institute of Technology, 2011. http://hdl.handle.net/1721.1/65772.
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Thesis (Ph. D.)--Massachusetts Institute of Technology, Computational and Systems Biology Program, 2011.Cataloged from PDF version of thesis.
Includes bibliographical references.
Cellular signaling and regulatory networks underlie fundamental biological processes such as growth, differentiation, and response to the environment. Although there are now various high-throughput methods for studying these processes, knowledge of them remains fragmentary. Typically, the majority of hits identified by transcriptional, proteomic, and genetic assays lie outside of the expected pathways. In addition, not all components in the regulatory networks can be exposed in one experiment because of systematic biases in the assays. These unexpected and hidden components of the cellular response are often the most interesting, because they can provide new insights into biological processes and potentially reveal new therapeutic approaches. However, they are also the most difficult to interpret. We present a technique, based on the Steiner tree problem, that uses a probabilistic protein-protein interaction network and high confidence measurement and prediction of protein-DNA interactions, to determine how these hits are organized into functionally coherent pathways, revealing many components of the cellular response that are not readily apparent in the original data. We report the results of applying this method to (1) phosphoproteomic and transcriptional data from the pheromone response in yeast, and (2) phosphoproteomic, DNaseI hypersensitivity sequencing and mRNA profiling data from the U87MG glioblastoma cell lines over-expressing the variant III mutant of the epidermal growth factor receptor (EGFRvIII). In both cases the method identifies changes in diverse cellular processes that extend far beyond the expected pathways. Analysis of the EGFRVIII network connectivity property and transcriptional regulators that link observed changes in protein phosphorylation and differential expression suggest a few intriguing hypotheses that may lead to improved therapeutic strategy for glioblastoma.
by Shao-shan Carol Huang.
Ph.D.
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Pamen, Nyola Annick. "Bank internationalization and regulatory framework : organizational strategies, bank performance, and systemic risk." Thesis, Limoges, 2018. http://www.theses.fr/2018LIMO0001/document.
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Cette thèse examine les déterminants de la présence des banques à l’étranger et de leur mode d’implantation (succursales ou filiales) ainsi que les effets de leurs stratégies d’internationalisation sur leurs performances et sur le risque systémique. Elle est composée de trois essais empiriques sur l’internationalisation des banques européennes. Le chapitre 1 étudie si le niveau de développement des pays d’accueil et la maturité de leur système financier conditionnent l’impact de la réglementation bancaire sur les choix de localisation et de mode d’implantation à l’étranger, sous une forme exclusive de succursales ou de filiales ou selon un modèle mixte associant les deux formes. Les résultats indiquent sur la période 2011–2013 que les banques européennes choisissent d’être présentes plutôt dans les pays à hauts revenus qui ont des conditions strictes d’entrée et d'activités mais une supervision plus souple où elles s’implantent davantage sous forme de filiales. En revanche, elles privilégient les pays à revenus intermédiaires dont les autorités de supervision sont strictes mais ne restreignent pas les activités bancaires. Elles préfèrent également une présence avec des succursales dans les pays à bas revenus dont la réglementation est rigoureuse. Enfin, bien qu’une réglementation du capital plus sévère dissuade l’internationalisation des banques, toute implantation à l’étranger se fait néanmoins sous forme de succursales. Le chapitre 2 analyse comment la complexité organisationnelle et géographique des banques à l’étranger affecte le risque bancaire et la rentabilité de la banque-mère. Les résultats montrent que les banques présentes dans plus de pays prennent moins de risque, ont une plus faible probabilité de défaut, un plus faible risque de levier ainsi qu’une rentabilité plus faible. Il apparait également que les banques les plus complexes qui opèrent à la fois sous forme de filiales et de succursales dans plusieurs régions du monde sont, à l’exception du risque de l’actif, en moyenne moins risquées que celles qui s’installent uniquement sous forme de succursales. Le chapitre 3 considère la solidité de l’ensemble du système bancaire et teste si la présence des banques à l'étranger par le biais de filiales affecte le risque systémique différemment en temps normal (2005–2007), en temps de crise financière et de crise de la dette souveraine européenne (2008–2011) et au cours des années suivantes (2012–2013). L’analyse montre que la détention de filiales étrangères est associée en temps normal à un moindre risque systémique mais que lorsque le système bancaire fait face à des chocs sévères, l’effet est négatif, persistant et s’accroit durant les années d’après crises. Ces résultats suggèrent que l'internationalisation des banques contribue habituellement à une plus grande stabilité financière mais qu’elle amplifie l’impact systémique des crisesThis thesis examines the determinants of foreign banks’ presence and their organizational strategies abroad and tests how such internationalization affects bank performance and systemic risk. The dissertation is comprises of three empirical essays on European banks. The first chapter analyzes whether differences in economic development of the host countries and the maturity of their financial system are relevant to explain how banking regulation affects the choice of the foreign location and the organizational strategy of an exclusive organizational network with only branches or subsidiaries or a mix model with both affiliates’ types. The findings indicate that over the 2011–2013 period, European banks prefer high-income countries with numerous activity restrictions and weaker supervision but less developed countries with less restrictions and stronger supervision. Regarding the choice of foreign organizational form, banks rather operate subsidiaries in high and middle-income countries with stringent entry requirements but prefer branches in developing countries with stringent capital requirements and greater supervisory power. However, banks always tend to avoid locations with stronger capital regulation than at home. Yet when they are present in such countries, they operate branches. The second chapter investigates how foreign organizational and geographic complexity affect the parent bank’s individual risk and profitability. Our results show that being present abroad is beneficial for bank stability as it contributes to lower default risk. Banks present abroad through both subsidiaries and branches appear to be more stable than banks present under one form only. Being present with branches only is the most effective way to reduce risk-taking. Nevertheless, higher geographic dispersion of affiliates around different world regions is associated with higher volatility of earnings and higher profitability. Chapter 3 considers the state and soundness of the banking system and examines whether the presence of banks abroad with subsidiaries affects bank systemic risk differently during calm period (2005–2007), distress times of the global financial crisis and the European Sovereign debt crisis (2008–2011), and years after (2012–2013). We show for European listed banks that operating subsidiaries abroad is associated with lower systemic risk in normal times. However, when the banking system is facing severe shocks, such internationalization produces on systemic risk reversed and negative effects that are long-lived and aggravated in the years after the crises. Our findings suggest that bank internationalization and foreign complexity are important for greater stability in normal times but turn out to increase instability during years of financial turmoil and in the aftermath
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Altarawy, Doaa Abdelsalam Ahmed Mohamed. "DeTangle: A Framework for Interactive Prediction and Visualization of Gene Regulatory Networks." Diss., Virginia Tech, 2017. http://hdl.handle.net/10919/85504.
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With the abundance of biological data, computational prediction of gene regulatory networks (GRNs) from gene expression data has become more feasible. Although incorporating other
prior knowledge (PK), along with gene expression, greatly improves prediction accuracy, the accuracy remains low. PK in GRN inference can be categorized into noisy and curated.
Several algorithms were proposed to incorporate noisy PK, but none address curated PK. Another challenge is that much of the PK is not stored in databases or not in a unified structured format to be accessible by inference algorithms. Moreover, no GRN inference method exists that supports post-prediction PK.
This thesis addresses those limitations with three solutions: PEAK algorithm for integrating both curated and noisy PK, Online-PEAK for post-prediction interactive feedback, and DeTangle for visualization and navigation of GRNs. PEAK integrates both curated as well as noisy PK in GRN inference. We introduce a novel method for GRN inference, CurInf, to effectively integrate curated PK, and we use the previous method, Modified Elastic Net, for noisy PK, and we call it NoisInf. Using 100% curated PK, CurInf improves the AUPR accuracy score over NoisInf by 27.3% in synthetic data, 86.5% in E. coli data, and 31.1% in S. cerevisiae data. Moreover, we developed an online algorithm, online-PEAK, that enables the biologist to interact with the inference algorithm, PEAK, through a visual interface to add their domain experience about the structure of the GRN as a feedback to the system. We experimentally verified the ability of online-PEAK to achieve incremental accuracy when PK is added by the user, including true and false PK. Even when the noise in PK is 10 times more than true PK, online-PEAK performs better than inference without any PK.
Finally, we present DeTangle, a Web server for interactive GRN prediction and visualization. DeTangle provides a seamless analysis of GRN starting from uploading gene expression, GRN inference, post-prediction feedback using online-PEAK, and visualization and navigation of the predicted GRN. More accurate prediction of GRN can facilitate studying complex molecular interactions, understanding diseases, and aiding drug design.Ph. D.
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Vorobyeva, Irina. "The Regulatory Framework of Consumer-Payment Collection Services in the Czech Republic." Master's thesis, Vysoká škola ekonomická v Praze, 2010. http://www.nusl.cz/ntk/nusl-71771.
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The thesis is focused on consumer bill payments (payments of a small and medium value of 10 to 100 EUR) and the provision of payment-collection service in the Czech Republic, which being a member-state of the EU can show the trends and characteristics that can be identified in the markets of Germany, France, Italy and other countries of the Single Market of the EU. The purpose of this research is to analyze payment channels used by consumers in C2B level of transfers in the Czech Republic, what provides the basics to understand the appropriate form an instant payments business entity (consumer bill payment collector) should better take to have the space for future development and growth. The focus is made on the market of consumer bill payments and the current development of C2B payments sphere in the Czech Republic and the EU -- all to see the specifics of the market and to answer the question if the entrance and the launch of an IPS in the Czech Republic, first, would be of demand and, second, would have enough time to develop and mature itself to stay in existence in a long-term.
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Rinwigati, Waagstein Patricia. "Corporate human rights responsibility : a continuous quest for an effective regulatory framework /." Uppsala : Uppsala Universitet, 2009. http://urn.kb.se/resolve?urn=urn:nbn:se:uu:diva-101019.
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Chapeyama, Salome. "Developing a regional competition regulatory framework in the Southern African Development Community (SADC)." Thesis, University of the Western Cape, 2015. http://hdl.handle.net/11394/4765.
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Magister Legum - LLMThis study aims to evaluate the prospective benefits and challenges of developing a regional competition regulatory framework in SADC. Further, the study seeks to identify important lessons from the EU and COMESA that are crucial for the pursuance of a regional competition regulatory framework.
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Staschen, Stefan. "Regulatory impact assessment in microfinance : a theoretical framework and its application to Uganda." Thesis, London School of Economics and Political Science (University of London), 2010. http://etheses.lse.ac.uk/806/.
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This thesis develops a public interest methodology for assessing the impact of regulatory reforms in microfinance, applies this methodology to the case study of Uganda and explains the results by analysing the political economy of policy change. It thus combines public and private interest approaches in assessing microfinance regulation. Firstly, the study develops a methodology for regulatory impact assessment based on the public interest theory of regulation. The first step is an analysis of market failures as the main rationale for regulation. Regulatory objectives are then defined with reference to these market failures. Finally, a variety of quantitative and qualitative impact indicators are identified to measure the benefits of regulation with reference to the achievement of the regulatory objectives while also considering the costs. Secondly, the thesis applies this rationale-objectives-indicators approach to the new legal framework for microfinance deposit-taking institutions (MDIs) in Uganda using similar, but unregulated microfinance institutions as a control group. The results show that the MDI regime‘s generally positive impact was only achieved at substantial cost to the regulator and regulated institutions and is skewed towards safety and soundness and systemic stability without adequate consideration of other objectives such as consumer protection and access. Thirdly, the thesis explains the degree to which public interest objectives were achieved by analysing the political economy of regulatory change. It shows that the three stakeholder groups with the best knowledge of microfinance regulation and whose interests were most closely aligned with the public interest objectives - the Central Bank (Bank of Uganda), the MDI candidates, and donor agencies - were also those who had the strongest influence on the policy change process. The thesis concludes that its unique contribution is to develop a thorough methodology for assessing regulatory impact in microfinance. The methodology is used to measure the strengths and weaknesses of the MDI regime in Uganda, while the political economy analysis explains why these strengths and weaknesses arose.
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Ndulu, John Kimuli. "Factors affecting institutional transformation : a case for a microfinance regulatory framework in Kenya." Thesis, Stellenbosch : University of Stellenbosch, 2010. http://hdl.handle.net/10019.1/8474.
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Thesis (MDF)--University of Stellenbosch, 2010.Regulating microfinance activities has been an important policy concern in improving financial inclusion and extending financial services to all. However, introducing a regulatory framework of any kind pushes targeted institutions to change. In this case, microfinance regulatory framework that came to effect in 2008 has created three tiers of microfinance institutions: prudentially regulated deposit-taking institutions, credit only and unregulated informal groups. Those undertaking deposit-taking business were required by this regulation to transform their operations to comply with the requirements. Though many institutions wanted to be allowed to mobilise public deposits, only three institutions had managed to obtain at least a provisional license two years after the regulation became operational. The purpose of this research is to establish the factors affecting this microfinance transformation process in Kenya. Experiences around the world indicate that microfinance regulatory frameworks are dogged with a myriad of challenges that, at times, has limited the enjoyment of benefits of regulation. These challenges affect both the regulator and institutions being regulated. This study identifies several important factors affecting the transformation process of microfinance institutions in Kenya. These include the ability to meet capital requirements, restructuring existing ownership and getting new shareholders, ability to raise funds for transformation, acquiring suitable information systems, motivation to be regulated, governance issues and managerial inertia. These factors explain why certain institutions have moved faster than others in the transformation process and why some have opted to remain credit only.
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M'Barek, Sassi Amine. "Tax incentives and inter-state fiscal competition : the search for a regulatory framework." Thesis, University of Manchester, 2002. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.488365.
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The thesis represents a contribution to the debate on the regulation of inter-state fiscal competition. The study coincides with the mounting scepticism expressed towards the regulatory frameworks devised and implemented by the EU and OECD. This thesis offers a new and comprehensive approach to the regulatory dilemma. It looks at tax competition from a legal perspective and aspires at laying down the foundations of a balanced regulatory framework by sharing the burden of regulation amongst all parties involved in the process of fiscal competition. It also investigates the validity of the traditional arguments in the light of recent developments. Moreover, it tackles the one issue that is common to any regulatory framework, that is, the identification of tax incentives. The thesis contends that unless a common understanding is reached on what is meant by tax incentives, one may not seriously contemplate the regulation of inter-state fiscal competition.
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Aldarbas, Ahmad M. S. "The regulatory framework of the real estate sector in the Arabian Gulf countries." Thesis, SOAS, University of London, 2015. http://eprints.soas.ac.uk/26682/.
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Tosoni, Dimitri Michael. "The composition of virtual currencies and the prospects of a comprehensive regulatory framework." Diss., University of Pretoria, 2020. http://hdl.handle.net/2263/78361.
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There are still many uncertainties with regard to whether virtual currencies will eventually replace fiat money or whether these two institutions will be functioning in tandem. Virtual currencies are still without legal tender status, but it is established that virtual currency can be utilised as a medium of exchange in circumstances where parties permit for its use. Moreover, this novel technological phenomenon engenders a myriad of risks and legal implications that are not comprehensively dealt with by regulators either locally or internationally. This dissertation investigates the risks associated with virtual currencies, the regulatory approaches taken by different jurisdictions as well as the prospects for virtual currency to function as a medium of exchange.Mini Dissertation (LLM (Banking Law))--University of Pretoria, 2020.
Mercantile Law
LLM (Banking Law)
Unrestricted
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Armakolla, Angela. "An assessment of CCP resilience under the new regulatory framework using public data." Thesis, Paris 1, 2017. http://www.theses.fr/2017PA01E086.
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Dans ce travail, l’impact des accords d’EMIR et d’autres directives internationales (Principles for Financial Market Infrastructures, Key Attributes of Effective Resolution Regimes for Financial Institutions) sur la résilience des marchés financiers est étudié en termes de risque de contrepartie et de risque systémique. Plus particulièrement, le travail se focalise sur la résilience des Chambres de Compensation (CCPs), qui sont au cœur de la nouvelle architecture du système financier. Dans le cadre du mouvement réglementaire des produits dérivées vers les CCPs, le risque de contrepartie a ainsi été transféré des marchés bilatéraux aux CCPs. Il est donc aujourd’hui primordial d’évaluer les risques systémiques relatifs à cette transformation de la structure des marchés financiers. Après avoir décrit le fonctionnement des CCPs et leur cadre réglementaire, le rôle du marché européen des pensions livrées compensées comme canal d’amplification du risque systémique est analysé. Les pensions livrées sont des instruments financiers de refinancement des banques, représentant une part croissante de la liquidité des institutions financières en Europe. Un nouvel ensemble de données sur les taux de décote appliqués aux obligations d’état par les CCPs est présenté. Son analyse montre que les taux de décote sur les obligations d’État des pays périphériques ont considérablement augmenté en réaction à la hausse du risque souverain. Enfin, la procyclicité des taux de décote et la concentration des transactions sécurisées indiquent que le marché de la pension livrée pourrait être une source de risque systémique dans la zone Euro. La deuxième partie s’intéresse à la résilience financière des CCPs et de leurs membres. Comme la résilience de long terme d’une CCP dépend de la solidité de sa base de membres, la capacité de paiement des bases de membres en vertu des scénarios normaux et stressés est évaluée. Pour se protéger contre le défaut de leurs participants, les chambres de compensation ont mis au point plusieurs procédures de gestion des risques : des marges, des fonds de garantie mutuels (default fund), et des outils de récupération (remplissage des fonds de garantie mutuels, prélèvement d’une fraction des gains de marges, ). Les ressources préfinancées, les outils de récupération, et les pouvoirs d’évaluation (assessment powers) des plus importantes CCPs européennes et américaines sont étudiés afin d’évaluer l’exposition possible de leurs membres. Des règles de répartition des pertes et l’impact des nouveaux régimes de résolution sur la liquidité contingente sont aussi considérés. Il ressort de cette analyse que, sous un scénario stressé (couverture 2), la qualité de la base des membres s’érode considérablement, compromettant la capacité des membres à fournir des liquidités contingentes et à maintenir la résilience de la chambre de compensation. Enfin, l’ensemble des CCPs européens est scruté en utilisant des données publiques. Des nouveaux outils ont été développés ; ils permettent de comparer les activités des CCPs européens, leur degré d’interconnexion, et le risque de liquidité auquel fait face une CCP dans le cadre de ses activités du réinvestissement. Ces outils permettent de montrer que, dans le cas d’une crise systémique, plusieurs CCPs pourraient poser des problèmes sévères pour la stabilité du système financierNo English summary available
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Ahlers, Christelle. "The South African anti-money laundering regulatory framework relevant to politically exposed persons." Diss., University of Pretoria, 2013. http://hdl.handle.net/2263/31985.
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Politically exposed persons have become a specific risk factor in money laundering. The Financial Action Task Force has formulated clear and specific requirements for dealing with these individuals. Internationally, various jurisdictions such as the United Kingdom and the European Union have adopted effective legislation encompassing the 2003 Financial Action Task Force Recommendations. In South Africa the requirement to apply appropriate, risk based procedures to politically exposed persons has been limited to banks.
The aim of this research study was to identify whether the South African anti-money laundering regulatory framework, adequately addresses managing the risks of politically exposed persons. The regulatory frameworks of the United Kingdom and the European Union, as well as the requirements of the Financial Action Task Force, were used to determine whether best practice is followed in South Africa with regard to politically exposed persons. The process of how money is laundered has been examined as well as the methods that corrupt politically exposed persons use in order to launder money.
The study has shown that politically exposed persons are not regulated in South Africa in accordance with the Financial Action Task Force Recommendations issued in 2003, while the South African Anti-Money Laundering Regulatory Framework does not adequately address the risk posed by corrupt, politically exposed persons. Both international best practice and the recommendations of the World Bank were considered in terms of the way in which to address the risks posed by these persons effectively.Dissertation (MPhil)--University of Pretoria, 2013.
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Tamadon, Nahal. "Utilizing Privately Owned Flexibilities in the German Distribution System : Technical and Regulatory Framework." Thesis, KTH, Skolan för elektroteknik och datavetenskap (EECS), 2019. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-261773.
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This Master’s thesis project aims to define the technical and regulatory framework of asystem flexibility service utilizing distributed flexibilities connected to the low-voltage (LV)level. The flexibility service outlined here is local balancing, with the purpose of increasing theload-generation balance in LV networks using thermostatically controlled loads and ElectricalEnergy Storage (EES) devices. The thesis is performed at Avacon Netz GmbH, a GermanDSO, as part of the German demo for project InterFlex.The first part of the thesis encompasses the technical framework of local balancing. For thispurpose, day-ahead scheduling algorithms for heat pumps and EES devices are proposed toincrease the local consumption of distributed generation, and thereby decrease the reversepower flow and load peaks. Two scheduling algorithms are proposed in this thesis, one basedon numerical methods and one on optimization. The proposed algorithms are simulated fornine LV-networks in Avacon Netz’ grid area. The simulation results show that by utilizing allthe residential heat pumps and EES devices, the load peaks and the peak reverse flow can bereduced by up to 21.30% and 37.30% respectively.The commercial and regulatory framework of local balancing are analyzed in the second part ofthe thesis. The said service can be traded either using market-based mechanisms, or throughbilateral contracts between the DSO and the flexibility providers. Utilization of distributedflexibilities through the DSO has been vaguely mentioned in the German Energy Industry Act.The contractual framework and level of load interference has yet to be explicitly defined. Themarket-based trading is also analyzed in Part II, proposing a local semi-competitive marketfor flexibility services. Unlike flexibility services such as voltage or frequency control, localbalancing does not require a high level of DSO-TSO coordination. The service optimizesnetwork-capacity allocation, and makes room for additional integration of renewable-basedgeneration.Syftet med detta examensarbete är att definiera det tekniska och regulatoriska ramverketför en flexibilitetstjänst som utnyttjar distribuerad flexibilitet kopplade till distributionssystemetslågspänningsnät (LV). Den flexibilitetstjänst som beskrivs här kallas lokal balansering,med syftet att öka balansen mellan den producerade och den utnyttjade effekten i enskildalågspänningsnät med hjälp av termostatstyrda laster och elektrisk energilagring (EES). Examensarbetetutförs i samarbete med det tyska elnätsbolaget Avacon Netz GmbH som ettdelprojekt av det europeiska projektet InterFlex.Rapporten består av två delar. Den första delen beskriver den tekniska processen för lokalbalansering. I denna rapport föreslås två algoritmer, en baserad på numeriska- och en baseradpå optimeringsmetoder, för schemaläggning av värmepumpar och EES med syftet attöka den lokala användningen av den lokalt producerade eleffekten. Algoritmerna tillämpas pånio lågspänningsnät, och simuleringsresultaten visar att de föreslagna algoritmerna kan minskaeffekttopparna och effektflödet till högre spänningsnivåer med upp till 21,30%, respektive37,30%.I andra delen av rapporten beskrivs och analyseras det kommersiella och regulatoriska ramverketför lokal balansering. Handeln av denna tjänst kan ske antingen genom marknadsbaserademekanismer eller genom bilaterala handel mellan ett elnätsbolag och flexibilitetsleverantörer.Den tyska energilagen ger en vag beskrivning av reglerna kring användningen av småskalig ochdistribuerad flexibilitet i elnätet och kontraktsformer och de tillåtna gränserna för utnyttjandetav dessa resurser har ännu inte specificerats. Den marknadsbaserade handeln analyserasockså i del II. Här föreslås en lokal marknad för flexibilitetstjänster. Till skillnad från flexibilitetstjänstersom spänning- eller frekvensreglering, kräver lokal balansering inte en hög nivå avsamarbete mellan stam- och regionnätägare. Tjänsten optimerar resursanvändningen i nätetoch ökar nätets kapacitet för förnybar elproduktion.
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Eyers, Rebekah Frances. "A Regulatory Study of the Australian Animal Welfare Framework for Queensland Saleyard Animals." Thesis, Griffith University, 2016. http://hdl.handle.net/10072/366332.
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This thesis attempts to identify barriers to improved (regulatory) outcomes in Australian farm animal welfare regulatory frameworks, particularly the Queensland saleyard framework. In the context of this work, I interpret ‘improved outcomes’ to include improved animal wellbeing, for the benefit of the animals themselves. Drawing on literature from the regulatory, animal law and animal protection sectors, and finally the fieldwork findings, the thesis looks at ways to address, help prevent and/ or remove the barriers. In summary, the thesis proposes small changes to the overarching Australian farm animal welfare framework design, legal structures, regulatory approaches, regulatory culture and regulation to improve outcomes for animals. More specifically, changes to the Queensland saleyard framework could include for instance, initiatives to boost enforcement of animal users’ duty of care obligations (under ACPA 2001 (Qld)) and welfare compliance, particularly that concerning the framework’s most vulnerable (e.g., injured) and lowest dollar value animals (e.g., unwanted bobby calves). Vulnerable and low dollar value animals in the saleyard system may also include: very young animals (e.g., born during transport to saleyard or at yard); culled production animals (e.g., animals past ‘prime’ production); captured unwanted animals (e.g., wild cattle or goats) and physically or psychologically compromised animals (e.g., injured, crippled, distressed, sick or weak animals).Thesis (PhD Doctorate)
Doctor of Philosophy (PhD)
Griffith Law School
Arts, Education and Law
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Mawlood, Saman Jalal. "Challenges and Opportunities: The Impact of the Press Law (2008) on the Role of Journalism in the Kurdistan Region post-2003." Thesis, University of Bradford, 2011. http://hdl.handle.net/10454/5370.
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This thesis examines the role of the media in the Kurdistan Region focusing on developments since the fall of Saddam Hussein's regime in 2003 in order to identify the challenges which have faced journalists there, and the construction of national identity and the potential opportunities which this sector presents for shaping public opinion and strengthening the nascent democracy in the region. After tracing the history of the Kurdish media against the broader backdrop of Iraq, using an interdisciplinary approach, this thesis analyses the strengths and weaknesses of the Kurdish media, with particular reference to regulation, examining the Press Law (2008). It concludes with a series of recommendations regarding the growth and development of new opportunities in the Kurdish media. In addition, it will present arguments to support the urgent need to develop a legal and regulatory framework which is fit-for-purpose for the media in this style democracy.
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Murtuza, Rushmina. "The impact of legal process outsourcing in South Africa." University of Western Cape, 2020. http://hdl.handle.net/11394/7587.
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Doctor Legum - LLDLegal Process Outsourcing (LPO), the act of sending legal work to an offshore destination or onshore to another location within the same country by a law firm or legal department to a legal outsourcing company, has steadily grown to become a billion dollar industry, transforming the legal landscape from the traditional law firm set up and firmly entrenching itself as a valued accessory to any law firm vying for success. The integration of the LPO business model arguably offers lower labour costs, 24-hour service delivery and direct access to a pool of professional lawyers specialising in a multitude of disciplines
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Dempsey, Alison Louise. "Principles, process, responsibility : exploring ethics as a meta-regulatory framework for evolving governance discourse." Thesis, University of British Columbia, 2012. http://hdl.handle.net/2429/41986.
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This thesis proposes a new paradigm for understanding, developing and maintaining standards of corporate governance and conduct based on ethics as a meta-regulatory framework for governance discourse. It explores the possibility that, within such a framework, the explicit recognition of fundamental norms of ethical conduct and decision making such as honesty, fairness, consideration of others, responsibility and trustworthiness would precede and inform policy decisions relating to the objectives, structure and regulatory approaches of particular governance systems and practical considerations of how to implement and operationalize governance practices. It suggests that, despite the complex legal, institutional, normative and social dimensions of corporate governance standards and practice, these ethical norms are already implicit, and more recently explicit, in the formal systems of laws, rules and standards that seek to regulate corporate conduct. Alongside these traditional governance regulatory mechanisms, informal and soft law governance standards − codes, guidelines, international and multi-partite commitments − have emerged as an influential source of explicitly ethical, values based beliefs and expectations of what constitutes responsible business. There is an opportunity to use these ethical norms as a common point of departure for future governance discourse that is broad enough to support multiple approaches to governance yet flexible enough to accommodate complexity, diversity and change. Such discourse has the potential to alleviate some of the inherent interpretive and practical challenges to reconciling culturally diverse and pluralistic regulatory approaches in the pursuit of effective global corporate governance standards.
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Leong, James. "Development of a universal benefit-risk assessment framework and its application for regulatory agencies." Thesis, Cardiff University, 2013. http://orca.cf.ac.uk/59299/.
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The assessment of medicines has moved from efficacy and safety to that of a benefit-risk balance and regulatory agencies and pharmaceutical companies are improving their processes in order to achieve greater consistency and transparency in decision-making. However, their efforts are largely independent and do not address the lack of consistency in decisions by different countries, albeit for the same medicine, resulting in the potential inaccessibility of important medicines. The aim of this study was the development and validation of a universal benefit-risk framework for use by regulatory authorities. A questionnaire, specifically developed for this study, was used to evaluate the current approaches to benefit-risk assessment of medicines by 14 regulatory agencies and 24 pharmaceutical companies. None of the 11 agencies (79%) and 20 companies (83%) that responded used a fully quantitative approach, but the majority used a qualitative system for benefit-risk assessment. The development of a universal benefit-risk framework for use by both regulators and industry, with the involvement of all stakeholders, was supported by the study participants. A comparison of the existing benefit-risk assessment frameworks used by agencies and companies identified the common elements. As no major differences were observed, an 8-step universal framework was developed which incorporated the other frameworks. To support the framework in the assessment of benefits and risks, a template for documenting the benefit-risk decision together with a user manual was also developed. Four regulatory agencies conducted a retrospective pilot study to investigate the feasibility of this framework, the benefit-risk template and user manual. Subsequently, a prospective study was conducted by TGA of Australia, Health Canada and HSA of Singapore. The agencies found the benefit-risk template was ‘fit for purpose’ in terms of the relevance of information supporting the benefit-risk decision, the documentation and communication and the relative importance and values of the benefits and risks. The results showed that the benefit-risk summary template was adequate to document benefits and risks, relevant summaries and ii conclusions for the emerging markets. The applicability and validity of the summary component of the benefit-risk template was evaluated by sixteen HSA clinical reviewers in a retrospective study. They found that the BR Summary Template was adequate to document benefits, risks, relevant summaries and conclusions. However, a revision of the BR Summary Template should include technical improvements and more details of safety information. The BR Summary Template was thought to be a useful tool for communicating benefit-risk decisions to a variety of stakeholders. The formats of publicly available reports from major regulatory agencies were compared and found to be generally similar. When compared to the BR Template, the listing of benefits and risks, assigning of weights and values, visualisation and a more detailed, systematic standardised structure were found to be absent. This research has demonstrated that the 8-step universal framework is of value for the assessment of benefits and risks of medicines by regulatory agencies and the template was found to be useful for documenting and communicating benefit-risk decisions.
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Hamid, Sheharyar Sikander. "Efficacy of corporate governance theories in determining the regulatory framework for Islamic finance institutions." Thesis, University of Warwick, 2014. http://wrap.warwick.ac.uk/67150/.
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This thesis argues that the Islamic finance industry has its ideological foundations in the business ethics and stakeholder theory since the Islamic jurisprudence supports the ethical foundation of business and financial intermediations. These ethical practices can be traced back to jurisprudential concepts of Maqasid Al Sharia and Maslaha in Islamic law. The current practices of IFI however fails to follow the ethically sound (and in line with the Maqasid and Maslaha ideals) stakeholder model because of competitive pressures from the conventional financial industry and is thus modelled more on the Neo liberal shareholder profit maximisation ideology, focusing mainly on ensuring that the shareholders and certain investments account holders get maximum returns, thereby foregoing the interest of other stakeholders. It is thus argued that due to the incompatibility of the Neo liberal ethos with the Islamic finance ideals (the Maqasid of Financial intermediation), the Islamic finance industry needs to focus on more stakeholder oriented practices. The major reason for the failure of the current regulatory framework for the Islamic finance industry is the lack of any compliance and enforcement mechanism to ensure that uniform sharia governance mechanisms can be applied across the jurisdictions. This it is argued can best be achieved by international principle based Meta regulatory framework focusing on the stakeholder nature of the Islamic finance involving the IFSB and the AAOIFI and giving these bodies the authority to issue certificates of sharia compliance whereby the IFI’s would be required to obtain these certificates to function as ‘Islamic’ institutions.