When risk-based regulation aims low: Approaches and challenges
When risk-based regulation aims low: Approaches and challenges
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DOI：
10.1111/j.1748-5991.2011.01124.x
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发表时间：
2012-03-01
影响因子：
3
通讯作者：
Baldwin, Robert
中科院分区：
文献类型：
--
作者：
Black, Julia;Baldwin, Robert
在许多地区和国家，基于风险的监管正在成为一种常见的监管战略。至少在最初，监管的注意力往往集中在高风险上，但低风险的受监管者或活动往往构成受监管群体的大部分。本文探讨了为什么监管机构需要解决低风险问题，并概述了这些风险带来的潜在困难。然后，它考虑了监管机构在实践中如何倾向于处理较低的风险。一个机构的文献和调查为基础的研究是用来开发一个分类的干预策略，可能是有用的低风险活动，而且，事实上，更广泛。我们将在下期的《金融时报》上发表一篇文章，为监管机构在选择干预策略时制定一个战略框架，并评估监管机构是否以及如何以可操作、动态、透明和合理的方式使用这种框架。
Risk-based regulation is becoming a familiar regulatory strategy in a wide range of areas and countries. Regulatory attention tends to focus, at least initially, on high risks but low-risk regulatees or activities tend to form the bulk of the regulated population. This article asks why regulators need to address low risks and it outlines the potential difficulties that such risks present. It then considers how regulators tend to deal with lower risks in practice. A body of literature and survey-based research is used to develop a taxonomy of intervention strategies that may be useful in relation to low-risk activities, and, indeed, more widely. In an article to be published in the subsequent issue of this journal, we will then develop a strategic framework for regulators to employ when choosing intervention strategies and we will assesses whether, and how, such a framework could be used by regulatory agencies in a manner that is operable, dynamic, transparent, and justifiable.