Relevant bibliographies by topics / Securities law

Contents

  1. Journal articles
  2. Dissertations / Theses
  3. Books
  4. Book chapters
  5. Conference papers
  6. Reports

Academic literature on the topic 'Securities law'

Author: Grafiati
Published: 4 June 2021
Last updated: 2 February 2022

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Journal articles on the topic "Securities law"

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Proshunin, Maxim M. "PUBLIC SECURITIES AND DERIVATIVES LAW AS BRANCH OF THE FINANCIAL LAW." RUDN Journal of Law 23, no. 4 (December 15, 2019): 533–45. http://dx.doi.org/10.22363/2313-2337-2019-23-4-533-545.

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The article is devoted to financial law issues on securities and derivatives market regulations. The article deals with the financial law nature of the relations that are emerging in the securities and derivatives markets through a review of methods and techniques of securities and derivatives market regulation. The author considers the public interest in the regulation of the securities and derivatives markets, as well as differences between different parts of securities and derivatives markets. The article contains the review of regulatory, compensatory and redistributive functions of the securities and derivatives markets. The author states that control of the securities and derivatives market has to be considered as independent type of state financial control in the Russian Federation. In addition, the securities and derivatives law have to be considered as a branch of financial law. The legal relations arising in course of issuance and circulation of state securities and entering into derivatives deals are separately reviewed and analyzed. It is proved that the basis for recognition of the securities and derivatives market as the financial law categories is similar to reasons proving the existence of public banking law, namely, stock market and derivatives as an integral parts of any financial market system, the presence of public interest in the regulation of relations in the securities and derivatives markets, the existence of a mandatory subject of legal relations, having a public authority (the Bank of Russia), the existence of subordination between the Bank of Russia and professional participants of the securities market where the Bank of Russia acts as a regulator and supervisory authority and wide scope of public law methods used for securities and derivatives market regulations.
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Tridimas, Takis. "I. Company Law and Trade in Securities." International and Comparative Law Quarterly 46, no. 1 (January 1997): 202–5. http://dx.doi.org/10.1017/s0020589300060188.

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In the last two years there has been significant legislative activity in the field of company law. The most important development in the field of securities law has been the adoption of a directive amending, inter alia, the Investment Services Directive1 and the directive on undertakings for collective investments in transferable securities2, with a view to reinforcing prudential supervision3. A number of initiatives have been taken with a view to preparing for economic and monetary union. In particular, the Commission has submitted a proposal for a directive on cross-border credit transfers within the European Union which, if adopted, will increase efficiency of cross-border payments4. The regulation of trade in financial services between the Community and third States is of increasing importance, following the conclusion of the General Agreement on Trade in Services5.
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Treynor, Jack L. "Securities Law and Public Policy." Financial Analysts Journal 50, no. 3 (May 1994): 10. http://dx.doi.org/10.2469/faj.v50.n3.10.

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Weiss, Elliott J. "Pleading Securities Fraud." Law and Contemporary Problems 64, no. 2/3 (2001): 5. http://dx.doi.org/10.2307/1192305.

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Ochmann, Paweł. "CZY KAŻDY BILET ZAWSZE MUSI BYĆ ZNAKIEM LEGITYMACYJNYM, CZYLI ROZWAŻANIA O ZASADZIE ‘NUMERUS CLAUSUS’ PAPIERÓW WARTOŚCIOWYCH W POLSKIM PORZĄDKU PRAWNYM." Zeszyty Prawnicze 16, no. 1 (December 1, 2016): 135. http://dx.doi.org/10.21697/zp.2016.16.1.05.

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The ‘Numerus Clausus’ Principle for Securitiesin the Polish Legal SystemSummaryMost specialists on the doctrine of Polish private law hold that thereis a numerus clausus principle for securities in Polish law, although it hasnot been specifically put into words in any act of legislation. According tothe principle only those types of securities may be issued which are regulated by a statute. This means a prohibition on the issue of securities thathave not been legally recognised. There are only a few opinions that saythere is no numerus clausus on securities in Polish legal doctrine. Thisquestion has been the subject of a heated debate, which has attenuatedover the last years. However, many issues have neither been scrutinised nor even noticed. There are still several points worthy of consideration.The author’s aim in this paper is to review the arguments for and againstnumerus clausus; some of them have never been examined before. Hisanalysis leads him to conclude that there is a numerus apertus (i.e. norestrictions) on some securities, such as bonds, while others such asshares, which endow their holder with special rights, are subject to legalrestrictions. The article is an offshoot of research for a dissertation onprivate law conducted on an individual research programme supervisedby Dr. M. Spyra at Collegium Invisibile in the 2013/2014 academic year.
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Bozanic, Zahn, Preeti Choudhary, and Kenneth J. Merkley. "Securities Law Expertise and Corporate Disclosure." Accounting Review 94, no. 4 (September 1, 2018): 141–72. http://dx.doi.org/10.2308/accr-52265.

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ABSTRACT We examine whether securities lawyers involved in SEC comment letter inquiries act as client advocates by resisting disclosure changes or as gatekeepers by encouraging disclosure transparency. Consistent with an advocacy role, we find that securities lawyers' involvement in SEC comment letters is associated with resisting disclosure inquiries through redacting information from filings and issuing fewer amendments to previous disclosures. Our evidence also supports the view that the role of securities lawyers extends beyond the specific inquiry; their involvement is associated with improved readability and more cautionary language in the subsequent 10-K, and fewer future restatements and comment letters. Last, we find that securities lawyers serve more of an advocacy role when proprietary costs are high and when the inquiry involves a possible amendment, but more of a gatekeeper role when an inquiry is more complex. JEL Classifications: M41
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Skeel, David A. "Behaviorism in Finance and Securities Law." Supreme Court Economic Review 21, no. 1 (January 2013): 77–103. http://dx.doi.org/10.1086/675266.

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Yeon, Asmah Laili. "Law Enforcement In Malaysian Securities Markets." IOSR Journal of Business and Management 1, no. 5 (2012): 20–27. http://dx.doi.org/10.9790/487x-0152027.

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Bear, Larry Alan, and Rita Maldonado-Bear. "The securities industry and the law." Journal of Banking & Finance 26, no. 9 (September 2002): 1867–88. http://dx.doi.org/10.1016/s0378-4266(02)00196-6.

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Karmel, Roberta S. "Progress Report on Securities Law Harmonization." Proceedings of the ASIL Annual Meeting 88 (1994): 409–15. http://dx.doi.org/10.1017/s0272503700082719.

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Dissertations / Theses on the topic "Securities law"

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Haentjens, Matthias. "Harmonisation of securities law : custody and transfer of securities in European private law /." Alphen aan den Rijn : Kluwer Law International, 2007. http://www.loc.gov/catdir/toc/fy0803/2008270798.html.

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Austen-Peters, A. O. "Custody of investments : law and practice /." Oxford [u.a.] : Oxford Univ. Press, 2000. http://www.gbv.de/dms/spk/sbb/recht/toc/319230996.pdf.

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Austen-Peters, A. O. "Custody of investments : law and practice /." Oxford [u.a.] : Oxford Univ. Press, 2006. http://www.loc.gov/catdir/enhancements/fy0610/00045293-d.html.

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Breslin, John. "Extraterritorial control of securities fraud." Thesis, University of Cambridge, 1989. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.333177.

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Tridimas, Panagiotis. "Harmonisation of securities regulation in the EEC." Thesis, University of Cambridge, 1990. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.317933.

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Chun, Changmin. "Intermediated securities and systems in substantive law and in private international law." Thesis, McGill University, 2008. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=18739.

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With the advancement of intermediated systems coupled with the rapid development of information technology, securities holding patterns have drastically changed from direct holdings to intermediated holdings, which facilitated the explosive increase of securities transactions during the last half century. In intermediated systems, traditional functions of securities certificates have faded away and intermediated securities credited to securities account books play a key role in determining proprietary issues. In spite of the innovative development of intermediated systems, legal regimes for the systems have not kept up with the development of the systems. Specifically, there has been much legal hindrance in cross-border securities transactions. In this regard, this thesis first attempts to research substantive laws for intermediated systems in the United States, the United Kingdom, Canada, Japan and Korea. The Unidroit draft convention on intermediated securities is also discussed as neutral fact-centred international substantive rules. In the substantive law analysis, this thesis suggests preparing new rules that are internally sound and internationally compatible, friendly to users and markets, and readily accessible clear, intuitive rules which satisfy basic legal needs of intermediated securities holders and ensure market efficiency and stability. In the private international law analysis, this thesis finds the traditional lex rei sitae (or the lex situs), which calls for application of the law of the place where securities are located, is no longer a proper connecting factor in proprietary issues of an intermediated securities disposition, given that the location of securities has no meaningful function in intermediated systems. The Hague Securities Convention, which refers to the PRIMA (Place of Relevant InterMediary Approach) that localises an intermediary, went beyond the PRIMA and selected its primary rule in an account agreement between an account hold
Avec l'avancement des systèmes d'intermédiaires et les développements technologiques récents, les modèles de détentions des titres d'investissement ont changé dramatiquement au cours des cinquante dernières années. ce qui a facilité l'expansion accrue des transactions. Dans les systèmes intermédiés, la fonction traditionnelle des titres certifiées est en train de se dégrader, et ainsi les titres intermédiés crédités aux livrets de comptes sécuritaires jouent un rôle important dans la détermination des droits de propriété et des droits prioritaires. Malgré les innovations des systèmes d'intermédiaires, les régiments juridiques applicables à ces systèmes n'ont pas évolués au même rythme. Ceci affecte particulièrement les opérations transfrontalières. Cette thèse débute donc avec un examen du droit matériel applicable aux systèmes intermédiés aux États-Unis, au Royaume-Uni, au Canada, au Japon et en Corée. Le projet de convention d'Unidroit sur les systèmes intermédiés est aussi considéré comme option neutre et centrée sur la dimension factuelle des transactions. Suite à cette analyse du droit matériel, cette thèse recommande l'adoption de nouvelles règles basées sur des fondements juridiques solides et compatibles avec la dimension transfrontalière des échanges; ces règles cherchent à être simples et accessibles, utiles aux usagers et à augmenter la prévisibilité tout en assurant la stabilité et l'efficacité des marchés. Passant ensuite à l'analyse du droit international privé, cette thèse rejette la règle de conflit traditionnelle de la lex rei sitae (ou la lex situs), qui n'est plus adéquate pour régler les problèmes liées à la propriété en matière de disposition des titres intermédiés, puisque la localisation concrètes des titres n'a plus de fonction significative dans les systèmes intermédiés. La Convention de La Haye sur les Titres qui s'inspire plutôt de la règle PRIM
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Li, Zhao. "Securities regulation in the international environment." Thesis, University of Glasgow, 2009. http://theses.gla.ac.uk/691/.

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It is undisputed that the world’s securities markets are becoming increasingly international and increasingly integrated. The internationalization of the world’s securities markets is one of the most significant developments affecting the securities markets of many nations. “How should regulators respond?” is an issue that is hotly contested. The purpose of this thesis is not to introduce a new theory but rather to offer a comprehensive analysis of past and present practice, in order to identify what is effective and what is not. There are three competing approaches to international securities regulation – harmonization, regulatory competition and cooperation. Thus the thesis analyzes these three leading current theoretical arguments in turn as paradigms for international securities regulation. On this basis, the paper will focus on these three approaches and address the fundamental questions posed by the internationalization of securities markets: which regulatory approach is the proper and best way to govern securities regulation in the new international market? Are there any areas which need to be improved? And therefore, how can international regulation be improved? The thesis will answer these questions in two ways: in theory and in practical application. With regard to theory, the thesis examines the definitions and arguments given to each approach. Harmonization is the idea that rules and regulations should be standardized across countries as much as possible. In contrast to the harmonization is the regulatory competition approach. Under this model, countries do not coordinate with one another – each country is free to enact whatever rules and regulations it chooses. Whereas, the third approach cooperation traditionally is an instrument to reduce conflicts and tensions. International cooperation is defined as conscious policy coordination among states. On a practical level, the thesis delineates the current stage of harmonization, regulatory competition and cooperation developments in the EU, US, as well as internationally. It should be recognized that each of the three securities regulatory approaches analyzed in this thesis have contributed much towards international securities regulation. However, as discussed each approach has its problems, none is perfect. As long as there are regulations, there will be abuses and room for improvements. One of major problem in the international arena is that there are no international law-making institutions vested with legal authority to address these issues. Instead of a formal international securities regulator there is a set of international institutions which include a limited number of countries which produce standards and norms that are then adopted by national authorities on a voluntary basis. Because of the diversity, complexity, and universality of issues likely to continue to arise over the next decade, a single international body should be considered to facilitate world cooperation in addressing these issues.
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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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Zhu, Hong 1968. "Reforming the China Securities Regulatory Commission : towards efficient and effective regulation of China's securities markets." Thesis, McGill University, 1996. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=20146.

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Today, China's securities markets are facing a number of regulatory problems. Many central regulatory problems arise from the fragmented regulatory system, which is not effectively structured to further the goals of securities legislation.
The purpose of this thesis is to review, and make recommendations in respect of, the securities regulatory system in China with particular attention to the regulatory role of the China Securities Regulatory Commission (CSRC).
After examining the characteristics of China's securities market development and identifying existing problems in the regulatory system, the thesis adopts a broad outlook through a comparative survey of securities regulators in selected jurisdictions in seeking appropriate resolutions to China's regulatory concerns.
Specific substantive reform proposals for improving the regulatory system and in particular the CSRC are subsequently presented. The overriding theme of the proposals is the need for a more effective CSRC, one that would be able to provide efficient and adequate regulation of China's securities markets.
The law in this thesis is stated as of July 1996.
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Poznanski, Bernard G. "The extraterritorial exercise of jurisdiction in securities regulation /." Thesis, McGill University, 1986. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=66040.

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Books on the topic "Securities law"

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1954-, Gabaldon Theresa A., ed. Securities law. 3rd ed. [New York]: Foundation Press ; [St. Paul, Minn.], 2007.

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1954-, Gabaldon Theresa A., ed. Securities law. 4th ed. New York, N.Y: Foundation Press Thomson/West, 2011.

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Soderquist, Larry D. Securities law. 3rd ed. New York: Foundation Press, 2007.

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Hudson, Alastair. Securities law. London: Sweet & Maxwell, 2013.

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Gabaldon, Theresa A., 1954- author, ed. Securities law. St. Paul, MN: Foundation Press, 2014.

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Soderquist, Larry D. Securities law. New York: Foundation Press, 1998.

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1954-, Gabaldon Theresa A., ed. Securities law. 2nd ed. New York, N.Y: Thomson/West, 2004.

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Baxt, Robert. Securities industry law. 5th ed. Sydney: Butterworths, 1996.

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Understanding securities law. 2nd ed. New York, NY: Matthew Bender, 1996.

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Center, Federal Judicial, ed. Federal securities law. 2nd ed. Washington, DC (Thurgood Marshall Federal Judiciary Bldg., 1 Columbus Circle, N.E. 20002-8003): Federal Judicial Center, 2003.

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Book chapters on the topic "Securities law"

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Yu, Danling. "Securities Law." In Chinese Business Law, 77–134. Singapore: Springer Singapore, 2018. http://dx.doi.org/10.1007/978-981-13-0902-1_3.

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Judge, Stephen. "Securities for Loans." In Business Law, 293–333. London: Macmillan Education UK, 1999. http://dx.doi.org/10.1007/978-1-349-14962-9_10.

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Dine, Janet. "Public Issue of Securities." In Company Law, 84–96. London: Macmillan Education UK, 1998. http://dx.doi.org/10.1007/978-1-349-14583-6_7.

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Girasa, Roy. "Securities Regulation Part II: Securities Exchange Act of 1934 and International Securities Regulation." In Corporate Governance and Finance Law, 179–231. New York: Palgrave Macmillan US, 2013. http://dx.doi.org/10.1057/9781137345431_5.

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Girasa, Roy. "Securities Regulation Part I: Securities Act of 1933." In Corporate Governance and Finance Law, 135–78. New York: Palgrave Macmillan US, 2013. http://dx.doi.org/10.1057/9781137345431_4.

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dalla Pellegrina, Lucia, and Margherita Saraceno. "Securities Class Action." In Encyclopedia of Law and Economics, 1855–64. New York, NY: Springer New York, 2019. http://dx.doi.org/10.1007/978-1-4614-7753-2_729.

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dalla Pellegrina, Lucia, and Margherita Saraceno. "Securities Class Action." In Encyclopedia of Law and Economics, 1–10. New York, NY: Springer New York, 2017. http://dx.doi.org/10.1007/978-1-4614-7883-6_729-1.

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dalla Pellegrina, Lucia, and Margherita Saraceno. "Securities Class Action." In Encyclopedia of Law and Economics, 1–10. New York, NY: Springer New York, 2021. http://dx.doi.org/10.1007/978-1-4614-7883-6_729-2.

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Grundfest, Joseph A. "Securities Regulation." In The New Palgrave Dictionary of Economics and the Law, 1810–19. London: Palgrave Macmillan UK, 2002. http://dx.doi.org/10.1007/978-1-349-74173-1_344.

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Hudson, Alastair. "Securities regulation and raising capital." In Understanding Company Law, 205–27. Second edition. | Abingdon, Oxon; New York, NY: Routledge, 2017.: Routledge, 2017. http://dx.doi.org/10.4324/9781315158099-13.

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Conference papers on the topic "Securities law"

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Csák, Csilla. "The Financial Securities of the Validation of the Environmental Law Responsibility." In MultiScience - XXIX. microCAD International Multidisciplinary Scientific Conference. University of Miskolc, 2015. http://dx.doi.org/10.26649/musci.2015.078.

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Yu-fei, Xia. "Analysis on the Manipulation of Securities Trading Behavior Prohibited by Law." In Proceedings of the 1st International Conference on Contemporary Education and Economic Development (CEED 2018). Paris, France: Atlantis Press, 2018. http://dx.doi.org/10.2991/ceed-18.2018.71.

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Nurhasanah, Dr. "Economic Review and Regulation of Islamic Investment Instruments on Asset-Backed Securities." In 1st International Conference of Law and Justice - Good Governance and Human Rights in Muslim Countries: Experiences and Challenges (ICLJ 2017). Paris, France: Atlantis Press, 2018. http://dx.doi.org/10.2991/iclj-17.2018.33.

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Li, Jun. "Research on the Teaching Reform of Securities Investment Course: Based on the Perspective of “1 Plus x” Certificate System." In Proceedings of the 5th International Conference on Economics, Management, Law and Education (EMLE 2019). Paris, France: Atlantis Press, 2019. http://dx.doi.org/10.2991/aebmr.k.191225.251.

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Özel, Çağlar. "Portfolio Management Contract." In International Conference on Eurasian Economies. Eurasian Economists Association, 2018. http://dx.doi.org/10.36880/c10.02050.

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This document aims to explain the portfolio management contract. Portfolio Management Contract is constitutive of a mouth certain value of wealth and portfolio called is integrally managed. By the contract, the aim is that financier wealth value direct to market expectation investment, mainly in commerce. The contract usually forms through the transport of Securities and Exchange Commission Notices. Portfolio Management Companies, whose major business line is established and management and as be found incorporated company securities and exchange commission, stockbrokers and banks, which are nonaccedding deposits, constitute the part of the contract. Counterparty is individual or corporate financier. According to general principles of Obligations Law, the contract, which does not have any mandatory condition, depends on requirement of written form with regard to notice of this/the subject. Remuneration is the essential component for Portfolio Management Contract, which has the characteristics of the anonymous contract. In this case, it has to be agreed on getting charge for servitude given by Portfolio Management Companies, stockbrokers and banks, which are nonaccedding deposits. The contract is aimed to commit the obligation with caution rather than extrapolating to a specific condition. In suitable conditions of primarily provisions of the contract of not against of this subject’s issue notices and in case of gaps, provisions of contract of mandate will be applied to the contract by comparison.
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Topaloğlu, Mustafa. "An Evaluation of Turkish Mortgage System from the Perspective of Global Economic Crisis." In International Conference on Eurasian Economies. Eurasian Economists Association, 2011. http://dx.doi.org/10.36880/c02.00359.

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Turkish mortgage system was established by the law number 5582 and the title of "The Law Amending the Laws Related to Housing Finance System" in 2007. Even though the entry into force of this act expressed as "Pay the rent as the landlord-performing”, no bring up short of the interest rates of a housing loan were observed. In fact, Mortgage application could not be branch out yet. The distinguishing feature of the mortgage system, mortgage collateral pools of consumer loans with guaranteed by mortgage backed securities to be issued, sold in the capital market, also called the mortgage money is the safeguard of cheap funds. Using this fund for financing provided by banks as a result of re-housing resource for the consumer to pay the cost of housing loan interest rate is relatively go into a decline. Meanwhile, after the abundance of finance in the world, the so-called subprime mortgage, loans to non-qualified borrower, triggered the world economic crisis occurred. May well be, Turkey was unimpressed the crisis because of the not being set secondary mortgage market. All the public in charge of economy has introduced prevention of packages of measures.
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Lindskog, Staffan, and Rolf Sjo¨blom. "Radiological, Technical and Financial Planning for Decommissioning of Small Nuclear Facilities in Sweden." In ASME 2009 12th International Conference on Environmental Remediation and Radioactive Waste Management. ASMEDC, 2009. http://dx.doi.org/10.1115/icem2009-16177.

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On November 1st 2008, a new ordinance came into force in Sweden. It extends the implementation of nuclear liability to all nuclear facilities and companies, regardless of size. The Government has authorized the Swedish Radiation Safety Authority (SSM) to issue further regulation as warranted and appropriate, and commissioned the same Authority to oversee the implementation. Consequently, SSM is presently conducting research in order to establish a basis for the implementation of the ordinance to smaller facilities and enterprises. The goal is to enable finance to be assured in an efficient manner so that any burden on the companies is as small as possible. Thus, “functional requirements” are identified, and used as a basis for various investigations. The aspects include technical and cost calculation prerequisites, as well as various domains of law: the environmental code, radiation and nuclear safety, financial reporting, and criminal law. It is found that the basis for the differentiation among the facility operators and owners should be the cost and the associated uncertainty. Thus, a cost calculation will have to be carried out by all. It should be based on available standards and guidance documents. It is found that this is a requirement that already exists elsewhere in the legislation, and thus no additional burden is imposed on the companies. It is found that segregated funds is the preferred option for long-term liabilities. Securities are suitable for short-term liabilities provided that the economy of the company in question is sound. Securities might also be used for long-term liabilities to cover uncertainty. It is proposed that a de minimis limit of at least kSEK 25 (about k€ 2, 4 and k$ 3, 4) is used. An important reason for this is that lower limits might be incompatible with the rules for financial reporting. It is also proposed that securities might be used also for long-term commitments if the total environmental liability does not exceed 1,00 MSEK (about k€ 96 and k$ 135). It is found that the “general advice” that must be used by smaller companies lacks proper instructions on how to account for environmental liability whilst at the same time it prohibits the use of e g the international reporting standards IFRS/IAS. It is also found that the “general advice” prohibits distribution of costs for research and development over time. This might be incompatible with a fund system where considerable research may be necessary at the early stages of the work and often many years before the actual decommissioning is to take place. The rules in the penal code require that an annual report presents an “essentially correct financial situation”. One of the interpretations to this statement is that a deviance of at most 30% might be tolerated. Although previous work has indicated that the error in cost estimates need not be higher than about 15%, even for research facilities, concealed cost raisers may from time to time lead to much larger errors, even when best practices are being used. It is therefore essential that decommissioning planning and cost predictions are made in accordance with state of the art, and that the estimating methods as well as the results are properly documented.
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8

Menon, Shankar, Bo Wirendal, Jan Bjerler, and Lucien Teunckens. "Validation of Dose Calculation Codes for Clearance." In ASME 2003 9th International Conference on Radioactive Waste Management and Environmental Remediation. ASMEDC, 2003. http://dx.doi.org/10.1115/icem2003-4667.

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All proposals for clearance from regulatory control of very low level radioactive material are based on predicted scenarios for subsequent utilisation of the released materials. The calculation models used in these scenarios tend to utilise conservative data regarding exposure times and dose uptake as well as other assumptions as a safeguard against uncertainties. Another aspects is common to all these calculation models and codes: none of them has ever been validated by comparison with the actual real life practice of recycling. An international project has recently been concluded where two calculation codes used for this purpose (the RESRAD-RECYCLE and CERISE codes) were used to calculate the dose uptake by workers, during the segmentation and melting of a contaminated fuel rack at Studsvik RadWaste, Sweden. These calculated doses were compared with electronic dosimeter measurements on workers participating in the various operations. The measurements showed that segmenting was the work operation that gave the highest dose, almost 65% of the total dose incurred, while melting itself accounted for only about 13%. The project was a co-operation between the Swedish Radiation Protection Institute, Studsvik (Sweden), the US Department of Energy, Argonne National Laboratory (USA), the Institute de Radioprotection et Securite´ Nucle´aire (France) and Belgoprocess (Belgium). The comparison of the calculation results indicated that, even with a carefully controlled reflection of reality with respect to geometry and exposure time and with a “best judgment” choice of densities for each operation, the calculation programmes have tended to overestimate the dose uptake by a factor 4 to 7, i.e. about an order of magnitude. An obvious explanation is the fact that the workers are not static, they move about constantly, changing the geometry, thus not taking the assumed doses. There are also some other practical aspects difficult to reflect exactly in the calculations. It should be noted that the Swedish Radiation Protection Institute were not completely of the same opinion as the project team, pointing out that the codes also underestimated doses for certain operations. We feel, however, that this is irrelevant, as only the maximum estimated doses for any operation in the process are used for the determination of clearance levels. It seems reasonable to state that the use of ‘enveloping’ scenarios, which necessarily cover a wide range of scenarios range of scenarios in connection with the calculation of clearance levels, would tend to accentuate this tendency of overestimation of dose uptake in most individual cases of recycling by melting. Taking into account the sensitivity of the modelling and the practical aspects listed above, the estimated doses can be, say, one or even more orders of magnitude higher than those actually taken. A side aspect of the execution of the Validation Project — specifically the background measurements — was the revelation of radioactivity in unexpected places: the paint used for the painting of moulds at A˚kers (3–5 Bq/g), the slag binding product (twice background radiation), the stamp mass, insulation and new asphalt at the Studsvik furnace (all at three to four times background). This serves to illustrate the undetected omnipresence of radioactivity in the human habitat at dose rate levels considerably higher (up to 400% over background) than the levels (ca 1% over background) at which the currently proposed clearance criteria are based on. Finally, it is important to note that the degree of overestimation (a factor of 4 −7), as recorded in the validation project, is generally regarded as ‘acceptable’ by dose modellers. The results will most probably not lead to any revision or refinement of these codes. For the nuclear decommissioner and the other producers of large volumes of only slightly radioactively contaminated material, the clearance levels resulting from such a degree of conservatism can lead to huge amounts of material unnecessarily being condemned to burial as radioactive waste. Considering that most such producers transfer their costs to the public, it is society at large that will foot the bill for this exercise in conservatism.
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Reports on the topic "Securities law"

1

Porta, Rafael La, Florencio Lopez-de-Silane, and Andrei Shleifer. What Works in Securities Law? Cambridge, MA: National Bureau of Economic Research, August 2003. http://dx.doi.org/10.3386/w9882.

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Stulz, René. Securities Laws, Disclosure, and National Capital Markets in the Age of Financial Globalization. Cambridge, MA: National Bureau of Economic Research, August 2008. http://dx.doi.org/10.3386/w14218.

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Prilmeier, Robert, and René Stulz. Securities Laws, Bank Monitoring, and the Choice Between Cov-lite Loans and Bonds for Highly Levered. Cambridge, MA: National Bureau of Economic Research, January 2019. http://dx.doi.org/10.3386/w25467.

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Research Institute (IFPRI), International Food Policy. Indice de la faim dans le monde Relever le defi de la faim: Assurer une securite alimentaire durables dans un monde sous contraintes en eau, en energie et en terres. Washington, DC: International Food Policy Research Institute, 2012. http://dx.doi.org/10.2499/9780896299450.

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Financial Stability Report - September 2015. Banco de la República, August 2021. http://dx.doi.org/10.32468/rept-estab-fin.sem2.eng-2015.

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From this edition, the Financial Stability Report will have fewer pages with some changes in its structure. The purpose of this change is to present the most relevant facts of the financial system and their implications on the financial stability. This allows displaying the analysis more concisely and clearly, as it will focus on describing the evolution of the variables that have the greatest impact on the performance of the financial system, for estimating then the effect of a possible materialization of these risks on the financial health of the institutions. The changing dynamics of the risks faced by the financial system implies that the content of the Report adopts this new structure; therefore, some analyses and series that were regularly included will not necessarily be in each issue. However, the statistical annex that accompanies the publication of the Report will continue to present the series that were traditionally included, regardless of whether or not they are part of the content of the Report. In this way we expect to contribute in a more comprehensive way to the study and analysis of the stability of the Colombian financial system. Executive Summary During the first half of 2015, the main advanced economies showed a slow recovery on their growth, while emerging economies continued with their slowdown trend. Domestic demand in the United States allowed for stabilization on its average growth for the first half of the year, while other developed economies such as the United Kingdom, the euro zone, and Japan showed a more gradual recovery. On the other hand, the Chinese economy exhibited the lowest growth rate in five years, which has resulted in lower global dynamism. This has led to a fall in prices of the main export goods of some Latin American economies, especially oil, whose price has also responded to a larger global supply. The decrease in the terms of trade of the Latin American economies has had an impact on national income, domestic demand, and growth. This scenario has been reflected in increases in sovereign risk spreads, devaluations of stock indices, and depreciation of the exchange rates of most countries in the region. For Colombia, the fall in oil prices has also led to a decline in the terms of trade, resulting in pressure on the dynamics of national income. Additionally, the lower demand for exports helped to widen the current account deficit. This affected the prospects and economic growth of the country during the first half of 2015. This economic context could have an impact on the payment capacity of debtors and on the valuation of investments, affecting the soundness of the financial system. However, the results of the analysis featured in this edition of the Report show that, facing an adverse scenario, the vulnerability of the financial system in terms of solvency and liquidity is low. The analysis of the current situation of credit institutions (CI) shows that growth of the gross loan portfolio remained relatively stable, as well as the loan portfolio quality indicators, except for microcredit, which showed a decrease in these indicators. Regarding liabilities, traditional sources of funding have lost market share versus non-traditional ones (bonds, money market operations and in the interbank market), but still represent more than 70%. Moreover, the solvency indicator remained relatively stable. As for non-banking financial institutions (NBFI), the slowdown observed during the first six months of 2015 in the real annual growth of the assets total, both in the proprietary and third party position, stands out. The analysis of the main debtors of the financial system shows that indebtedness of the private corporate sector has increased in the last year, mostly driven by an increase in the debt balance with domestic and foreign financial institutions. However, the increase in this latter source of funding has been influenced by the depreciation of the Colombian peso vis-à-vis the US dollar since mid-2014. The financial indicators reflected a favorable behavior with respect to the historical average, except for the profitability indicators; although they were below the average, they have shown improvement in the last year. By economic sector, it is noted that the firms focused on farming, mining and transportation activities recorded the highest levels of risk perception by credit institutions, and the largest increases in default levels with respect to those observed in December 2014. Meanwhile, households have shown an increase in the financial burden, mainly due to growth in the consumer loan portfolio, in which the modalities of credit card, payroll deductible loan, revolving and vehicle loan are those that have reported greater increases in risk indicators. On the side of investments that could be affected by the devaluation in the portfolio of credit institutions and non-banking financial institutions (NBFI), the largest share of public debt securities, variable-yield securities and domestic private debt securities is highlighted. The value of these portfolios fell between February and August 2015, driven by the devaluation in the market of these investments throughout the year. Furthermore, the analysis of the liquidity risk indicator (LRI) shows that all intermediaries showed adequate levels and exhibit a stable behavior. Likewise, the fragility analysis of the financial system associated with the increase in the use of non-traditional funding sources does not evidence a greater exposure to liquidity risk. Stress tests assess the impact of the possible joint materialization of credit and market risks, and reveal that neither the aggregate solvency indicator, nor the liquidity risk indicator (LRI) of the system would be below the established legal limits. The entities that result more individually affected have a low share in the total assets of the credit institutions; therefore, a risk to the financial system as a whole is not observed. José Darío Uribe Governor
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Payment Systems Report - June of 2020. Banco de la República de Colombia, February 2021. http://dx.doi.org/10.32468/rept-sist-pag.eng.2020.

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With its annual Payment Systems Report, Banco de la República offers a complete overview of the infrastructure of Colombia’s financial market. Each edition of the report has four objectives: 1) to publicize a consolidated account of how the figures for payment infrastructures have evolved with respect to both financial assets and goods and services; 2) to summarize the issues that are being debated internationally and are of interest to the industry that provides payment clearing and settlement services; 3) to offer the public an explanation of the ideas and concepts behind retail-value payment processes and the trends in retail payments within the circuit of individuals and companies; and 4) to familiarize the public, the industry, and all other financial authorities with the methodological progress that has been achieved through applied research to analyze the stability of payment systems. This edition introduces changes that have been made in the structure of the report, which are intended to make it easier and more enjoyable to read. The initial sections in this edition, which is the eleventh, contain an analysis of the statistics on the evolution and performance of financial market infrastructures. These are understood as multilateral systems wherein the participating entities clear, settle and register payments, securities, derivatives and other financial assets. The large-value payment system (CUD) saw less momentum in 2019 than it did the year before, mainly because of a decline in the amount of secondary market operations for government bonds, both in cash and sell/buy-backs, which was offset by an increase in operations with collective investment funds (CIFs) and Banco de la República’s operations to increase the money supply (repos). Consequently, the Central Securities Depository (DCV) registered less activity, due to fewer negotiations on the secondary market for public debt. This trend was also observed in the private debt market, as evidenced by the decline in the average amounts cleared and settled through the Central Securities Depository of Colombia (Deceval) and in the value of operations with financial derivatives cleared and settled through the Central Counterparty of Colombia (CRCC). Section three offers a comprehensive look at the market for retail-value payments; that is, transactions made by individuals and companies. During 2019, electronic transfers increased, and payments made with debit and credit cards continued to trend upward. In contrast, payments by check continued to decline, although the average daily value was almost four times the value of debit and credit card purchases. The same section contains the results of the fourth survey on how the use of retail-value payment instruments (for usual payments) is perceived. Conducted at the end of 2019, the main purpose of the survey was to identify the availability of these payment instruments, the public’s preferences for them, and their acceptance by merchants. It is worth noting that cash continues to be the instrument most used by the population for usual monthly payments (88.1% with respect to the number of payments and 87.4% in value). However, its use in terms of value has declined, having registered 89.6% in the 2017 survey. In turn, the level of acceptance by merchants of payment instruments other than cash is 14.1% for debit cards, 13.4% for credit cards, 8.2% for electronic transfers of funds and 1.8% for checks. The main reason for the use of cash is the absence of point-of-sale terminals at commercial establishments. Considering that the retail-payment market worldwide is influenced by constant innovation in payment services, by the modernization of clearing and settlement systems, and by the efforts of regulators to redefine the payment industry for the future, these trends are addressed in the fourth section of the report. There is an account of how innovations in technology-based financial payment services have developed, and it shows that while this topic is not new, it has evolved, particularly in terms of origin and vocation. One of the boxes that accompanies the fourth section deals with certain payment aspects of open banking and international experience in that regard, which has given the customers of a financial entity sovereignty over their data, allowing them, under transparent and secure conditions, to authorize a third party, other than their financial entity, to request information on their accounts with financial entities, thus enabling the third party to offer various financial services or initiate payments. Innovation also has sparked interest among international organizations, central banks, and research groups concerning the creation of digital currencies. Accordingly, the last box deals with the recent international debate on issuance of central bank digital currencies. In terms of the methodological progress that has been made, it is important to underscore the work that has been done on the role of central counterparties (CCPs) in mitigating liquidity and counterparty risk. The fifth section of the report offers an explanation of a document in which the work of CCPs in financial markets is analyzed and corroborated through an exercise that was built around the Central Counterparty of Colombia (CRCC) in the Colombian market for non-delivery peso-dollar forward exchange transactions, using the methodology of network topology. The results provide empirical support for the different theoretical models developed to study the effect of CCPs on financial markets. Finally, the results of research using artificial intelligence with information from the large-value payment system are presented. Based on the payments made among financial institutions in the large-value payment system, a methodology is used to compare different payment networks, as well as to determine which ones can be considered abnormal. The methodology shows signs that indicate when a network moves away from its historical trend, so it can be studied and monitored. A methodology similar to the one applied to classify images is used to make this comparison, the idea being to extract the main characteristics of the networks and use them as a parameter for comparison. Juan José Echavarría Governor
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7

Financial Stability Report - First Semester of 2020. Banco de la República de Colombia, March 2021. http://dx.doi.org/10.32468/rept-estab-fin.1sem.eng-2020.

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In the face of the multiple shocks currently experienced by the domestic economy (resulting from the drop in oil prices and the appearance of a global pandemic), the Colombian financial system is in a position of sound solvency and adequate liquidity. At the same time, credit quality has been recovering and the exposure of credit institutions to firms with currency mismatches has declined relative to previous episodes of sudden drops in oil prices. These trends are reflected in the recent fading of red and blue tonalities in the performance and credit risk segments of the risk heatmaps in Graphs A and B.1 Naturally, the sudden, unanticipated change in macroeconomic conditions has caused the appearance of vulnerabilities for short-term financial stability. These vulnerabilities require close and continuous monitoring on the part of economic authorities. The main vulnerability is the response of credit and credit risk to a potential, temporarily extreme macroeconomic situation in the context of: (i) recently increased exposure of some banks to household sector, and (ii) reductions in net interest income that have led to a decline in the profitability of the banking business in the recent past. Furthermore, as a consequence of greater uncertainty and risk aversion, occasional problems may arise in the distribution of liquidity between agents and financial markets. With regards to local markets, spikes have been registered in the volatility of public and private fixed income securities in recent weeks that are consistent with the behavior of the international markets and have had a significant impact on the liquidity of those instruments (red portions in the most recent past of some market risk items on the map in Graph A). In order to adopt a forward-looking approach to those vulnerabilities, this Report presents a stress test that evaluates the resilience of credit institutions in the event of a hypothetical scenario thatseeks to simulate an extreme version of current macroeconomic conditions. The scenario assumes a hypothetical negative growth that is temporarily strong but recovers going into the middle of the coming year and has extreme effects on credit quality. The results suggest that credit institutions have the ability to withstand a significant deterioration in economic conditions in the short term. Even though there could be a strong impact on credit, liquidity, and profitability under the scenario being considered, aggregate capital ratios would probably remain at above their regulatory limits over the horizon of a year. In this context, the recent measures taken by both Banco de la República and the Office of the Financial Superintendent of Colombia that are intended to help preserve the financial stability of the Colombian economy become highly relevant. In compliance with its constitutional objectives and in coordination with the financial system’s security network, Banco de la República will continue to closely monitor the outlook for financial stability at this juncture and will make the decisions that are necessary to ensure the proper functioning of the economy, facilitate the flow of sufficient credit and liquidity resources, and further the smooth functioning of the payment system. Juan José Echavarría Governor
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