Professions, Professional Standards and Capital Markets in the 21st Century: Regulatory Engagement, Design and Strategies

21 世纪的职业、专业标准和资本市场：监管参与、设计和策略

• 批准号: LP140100219
• 负责人: Prof Dimity Kingsford Smith
• 金额: $ 36.15万
• 依托单位: The University of New South Wales
• 依托单位国家: 澳大利亚
• 项目类别: Linkage Projects
• 财政年份: 2015
• 资助国家: 澳大利亚
• 起止时间: 2015-02-25 至 2019-12-31
• 项目状态: 已结题
• 来源: https://dataportal.arc.gov.au/RGS/Web/Grants/LP140100219
• 关键词: Professions; Professional; Standards; Capital; Markets

This project aims to advance academic knowledge of professional obligation within capital markets. The objective is to develop practical mechanisms to test and validate oversight programs designed to advance professional standards within the established professions of law and audit and those who aspire to that status (financial advisers and broker/dealers). The research uses an innovative conceptual framework that delineates rights, duties and responsibilities and measures capacity to deliver stated commitment to market integrity, thereby attending to the specific and pressing problems faced by the partner organisations. The project aims to provide warranted trust in the commitment of the professions to higher standards, thereby restoring market confidence.

该项目旨在促进资本市场专业义务的学术知识。其目标是建立切实可行的机制来测试和验证监督项目，这些项目旨在提高现有法律和审计专业以及那些渴望获得这一地位的人（财务顾问和经纪人/交易商）的专业标准。该研究采用了一个创新的概念框架，界定了权利、义务和责任，并衡量了履行市场诚信承诺的能力，从而解决了合作伙伴组织面临的具体而紧迫的问题。该项目旨在为专业人士提供更高标准的承诺，从而恢复市场信心。