Regulatory power and corporate misconduct

监管权力与企业不当行为

• 批准号: DP190100956
• 负责人: Em/Prof Ian Ramsay
• 金额: $ 21.82万
• 依托单位: The University of Melbourne
• 依托单位国家: 澳大利亚
• 项目类别: Discovery Projects
• 财政年份: 2019
• 资助国家: 澳大利亚
• 起止时间: 2019-05-01 至 2024-12-31
• 项目状态: 已结题
• 来源: https://dataportal.arc.gov.au/RGS/Web/Grants/DP190100956
• 关键词: Regulatory; power; corporate; misconduct

This project aims to map and critically analyse the shift towards negotiated enforcement in response to corporate misconduct in the financial sector. There is growing concern within the community, consumer advocates, elected representatives and the finance industry itself about the increasing use by regulators of negotiated enforcement mechanisms rather than litigation to counter serious corporate misconduct in the financial sector. There is concern that these practices may lack transparency, be inefficient, fail to deter corporate misbehaviour, and operate to subvert individual justice and the rule of law. This project aims to address these concerns by developing detailed recommendations for reform based on an examination of the theory and practices of Australian and United States of America financial regulators.

该项目旨在绘制并批判性地分析为应对金融部门的公司不当行为而转向通过谈判执行的情况。社会各界、消费者权益倡导者、民选代表和金融业本身越来越担心，监管机构越来越多地使用协商执行机制而不是诉讼来打击金融业的严重企业不当行为。有人担心，这些做法可能缺乏透明度，效率低下，无法阻止公司的不当行为，并破坏个人正义和法治。该项目旨在通过审查澳大利亚和美利坚合众国金融监管机构的理论和实践，制定详细的改革建议，以解决这些关切。