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

该项目旨在促进资本市场内专业义务的学术知识。目标是建立切实可行的机制，以测试和验证旨在提高法律和审计等既定专业以及希望获得这一地位的人（财务顾问和经纪人/交易商）的专业标准的监督方案。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，并衡量了履行对市场诚信的承诺的能力，从而解决了伙伴组织面临的具体和紧迫问题。该项目的目的是使人们对各专业致力于更高标准的承诺产生应有的信任，从而恢复市场信心。

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.