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Christos Gortsos - Fundamentals of Public International Financial Law

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Christos Gortsos

Fundamentals of Public International Financial Law

Series: Schriften des Europa-Instituts der Universität des Saarlandes - Rechtswissenschaft

Volume 89 2012

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Current supervisory and regulatory developments at international level: the Progress Report of the Financial Stability Board S. 226-238

„… Financial Stability BoardAs?mentioned?above?(under?B.1.1),?in?200 …” „… .?Review?of?the?Compendiumof?Standards?of?the?Financial?Stability?BoardFSBNational?states/authorities2011 Review?of?the?FSB?“Compendium of Standards”236Recommendation …” „… Implementation of the G20 Recommendations for Strengthening Financial Stability – Report of the Financial …”

International supervisory and regulatory developments after the recent (2007-2009) international financial crisis: the contribution of the G20 and the Financial Stability Board (FSB) S. 212-226

„… financial crisis: the contribution of the G20 and theFinancial Stability Board (FSB)The?G20 …” „… Financial? Stability? Board? (2009d)? “FSB Principles for Sound Compensation …” „… Financial Stability BoardAs?mentioned?above?(under?B.1.1),?in?200 …”

The four levels of the making and enforcement of public international financial law S. 131-160

„… ????within?the?framework?of?the?Financial?Stability?Board …” „… FinancialStability Board, adopting international financial standards, which are included in thereports constituting …” „… • to?the?Financial?Stability?Board?(see?below?under?4.2 …”

The main sources of public international financial law S. 197-212

„… • recapitalisation?of?the?firm?by?restructuring?its?liabilities?(the?‘bail-in’?resolutiontool).1.2.2.254? Financial?Stability?Board?(2011):?“Effective Resolution of Systemically Important …” „… ? at:http://www.financial?stabilityboard.org/publications/r_11071?.pdf.?See?also?Financial?Stability?Board?(2011b):? ?“Effective Resolution of Systemically …” „… • the?conditions?under?which?a?temporary?suspension?of?contractual?early?termination?rights?should?apply?in?the?event?of?a?firm’s?entry?into?resolution.An?overview?of?the?Compendium?of?the?Financial?Stability?BoardOverall?examinationAs?already?mentioned,?in?April?2001,?the?Financial?Stability …”

Table of Contents S. 9-22

„… The?Bank?for?International?Settlements3.2.4 141The?level?of?coordination:?the?Financial?Stability?Board4. 143 …” „… The?Financial?Stability?Forum?as?a?‘forerunner’4.1 143Establishment?and?membership4.1.1 143Tasks4.1.2 144The?Financial?Stability?Board4.2 145 …” „… An?overview?of?the?Compendium?of?the?Financial?Stability?Board2. 203Overall?examination2.1 203 …”

TABLES INCLUDED IN THE TEXT S. 23-24

„… Institutional?aspects?with?regard?to?the?conduct?of?financialpolicies?in?the?banking?sector 106Table?5 G-20?Members 135Table?6 Members?of?the?Financial?Stability?Board 147Table?7 …” „… Standing?Committees?and?Working?Groups?of?theFinancial?Stability?Board 14?Table?? Institutions?of?public?international?financial?law 157Table …” „… ?Recommendations?for?Strengthening?Financial?Stability?–?Report?ofthe?Financial?Stability?Board?to?G20?Leaders,?4?November2011 227Table?16 …”

The international fora adopting international financial standards and the Committee on the Global Financial System S. 160-175

„… fit?organisation?under?Swiss?law,?upon?an?initiative?of?theFinancial?Stability?Forum.435?In?May?2012,?the?IADI,?which?is?seated?in?Basel,?hadsixty-four?(64 …” „… The?Financial?Stability?Forum?(FSF)?set?up?a?‘Study?Group?on?Deposit?Insurance’? in?1 …” „… rs’?supervisory?(and?regulatory)authorities.(b)?The?provision?of?mutual?assistance?among?them?for?the?enhancement?of?marketintegrity.(c)?The?elaboration?and?adoption?of?international?financial?standards?relating?to:• the?stability?of?capital?markets,• the?protection?of?investors,?and …”

More specifically: instruments to achieve the policy objective of ensuring banking stability: the ‘bank safety net’ S. 77-106

„… ?System(2010a),? Financial? Stability? Board,? International? Monetary? Fund? and? Bank …” „… See?Financial?Stability?Board,?International?Monetary?Fund?and?Bank?for?InternationalSettlements?(2011),?section?2.?4 …” „… ,?and?FinancialStability?Board,?International?Monetary?Fund?and?Bank?for?International?Settlements(2011),?section?2.217 …”

In detail: the Basel Committee on Banking Supervision S. 175-196

„… )?other?international?fora:?the?Financial?Stability?Board?and?the?Joint?Forum,?as?already?mentioned.532 …” „… ?with?a?view?to?safeguarding?the?stability?of?the?international?financial?systemand,?in?particular,?the?international?banking?system.4?1?It?was?set?up?on???October?1?74by?an?informal?decision?of?the?Governors?of?G10 …” „… EBA,?ESMA?EIOPA?and?the?European?Systemic?Risk?Board,?which?is?responsiblefor? the?macro-prudential? oversight? of? the? EU? financial? system,4?5? constitute …”

INTRODUCTION S. 25-28

„… Codes”?of?the?Financial?Stability?Board?(under??2),• the?initiatives?undertaken?by?the?G-20 …” „… ?crisis?(under?),?and• the?progress?report?of?the?Financial?Stability?Board?with?regard?to?current?supervisory?and?regulatory?developments?at?international?level?(under?C).(b)?The?provisions?of?two?main?blocks?of?sources?of?public?international?banking?laware?then?analysed?in?Section?Six.?These?are?reports?of?the?Basel?Committee?on?BankingSupervision?which?refer?to …” „… ? financial?system?(seeunder?A?and?B?below),?and• in?particular,?the?instruments?for?ensuring?the?stability?of?the?banking?system?(under?C).2 …”

SECONDARY SOURCES S. 291-314

„… EuropäischesWirtschaftsrecht,?Verlag?C.H.Beck,?MünchenFinancial?Stability?Board,?International?Monetary?Fund?and?Bank?for?International?Settlements(2011):?Macroprudential policy tools and frameworks,?February?14 …” „… ,? Bank? for? International? Settlements,? and? Financial? StabilityBoard?(2009):?Guidance to Assess the …” „… a):?The?Role?of?Liquidity?in?Financial?Crises,?Jackson?Hole?Symposium:?Maintaining Stability in a Changing Financial …”

The historical evolution of the institutions of public international financial law S. 118-131

„… ? to?reestablish?the?Financial?Stability?Forum?as?‘Financial?Stability?Board’,?to?expand?itsmembership?and?enhance?its?tasks.33 …” „… ????within?the?framework?of?the?Financial?Stability?Board …” „… For?a?more?detailed?analysis?on?the?Financial?Stability?Forum,?see?below?under?4.1?of?this?subsection.2?4 …”

INTERNET ADDRESSES S. 315

„… ?System?(www.bis.org/cgfs)Dissemination?Standards?Bulletin?Board?(dsbb.imf.org)Financial?Action?Task?Force?(www.fatf-gafi.org/pages)Financial?Stability?Board?(www.financialstabilityboard.org)International?Accounting?Standards?Board …” „… INTERNET?ADDRESSESBank?for?International?Settlements?(www.bis.org)Basel?Committee?on?Banking?Supervision?(www.bis.org/bcbs)Committee?on?Payment?and?Settlement?Systems?(www.bis.org/cpss)Committee?on?the?Global?Financial …”

Extent and scope of adequate regulatory intervention in the financial system S. 282-286

„… ?system?operates?either?‘unregulated’?or?merely?through‘self-regulation’,?without?any?binding?rules?in?place?to?protect?the?public?or?any?safetyvalves?to?ensure?stability.?Indeed,?supporters?of?this?view?identify?the?main?causes?ofthe?crisis?in?the?lack?of?regulatory?intervention.The?true?meaning?of?‘financial?system?deregulation’The?view?that?the?financial …” „… ? lastthree?decades,?most?of?which?have?been?internationally?accepted?in?broad?terms,?byeconomically?developed?and?developing?states,?as?necessary?for?the?preservation?of?theglobalised?financial?system’s?soundness?and?stability …” „… AN?OVERALL?ASSESSMENTExtent and scope of adequate regulatory intervention in the financial …”

Definition, delimitation and branches of public international financial law S. 107-118

„… • to?safeguard?the?stability?of?the?insurance?sector?of?the?financial …” „… ?conglomerates?lawPublic?international?financial?conglomerates?law?is?the?branch?of?international?financiallaw?that?contains?provisions?with?regard?to?the?supplementary?supervision?of?financialconglomerates?(groups?combining?banks,?insurance?companies?and?investment?firms),in?order?to?safeguard?the?stability?of?the?financial?system?as?a?whole?as?regards?theiractivity.2?4The …” „… CHAPTER?TWOTHE?MAKING?OF?PUBLIC?INTERNATIONALFINANCIAL?LAWDEFINITION,?HISTORICAL?EVOLUTIONAND?LEVELS?OF?MAKING?ANDENFORCEMENT?OF?PUBLICINTERNATIONAL?FINANCIAL …”

The future of public international financial law S. 286-290

„… ? lastthree?decades,?most?of?which?have?been?internationally?accepted?in?broad?terms,?byeconomically?developed?and?developing?states,?as?necessary?for?the?preservation?of?theglobalised?financial?system’s?soundness?and?stability …” „… ? theeventuality?of?future?crises?of?the?magnitude?and?extent?that?we?are?experiencing?today,and?not?to?eliminate?financial?crises?completely.The future of public international financial …” „… lawDespite?having?attained?a?very?significant?level?of?international?financial?integrationsince?the?early?1?70 …”

The functions of the financial system S. 29-44

„… See?Financial?Stability?Board?(2011):?“Shadow Banking: Strengthening Oversight and Regulation, Recommendations of the Financial …” „… Stability Board”,? October,? available? at:? http://www.financialstabilityboard.org/publications/r_111027 …” „… CHAPTER?ONEREGULATORY?INTERVENTION?IN?THEFINANCIAL?SYSTEM?AS?THE?BASIS?FOR?THERULES?OF?PUBLIC?INTERNATIONALFINANCIAL?LAWTHE?FINANCIAL …”

Introductory remarks S. 59-77

„… ? in?more?detailbelow.?More?specifically,?apart?from?ensuring?free?competition?in?the?financial?system,which?is?the?prevailing?objective?in?the?entire?market,?regulation?is?also?aimed?at?meeting?the?following?objectives:• ensuring?the?stability?of?the?financial?system?(see?under?3.2?below …” „… • if?otherwise?exposed,?their?resolution?will?be?feasible?without?becoming?a?chargeon?the?public?finances.This?problem,?associated?with?the?policy?objective?of?ensuring?financial?stability …” „… ,?isdefinitely?not?new,?but?has?become?more?acute?during?the?recent?crisis?owing?to?largescale?government?bailouts?of?financial?firms?and?the?ensuing?negative?impact?on?publicfinances?(see,?for?example,?the?case?of?Ireland).Ensuring?the?stability?of?the?financial?systemThe?first?(and?primary)?policy?objective?justifying?regulatory?intervention?in?the?financial?system?of?economically?developed?states? is?ensuring?the …”

doi.org/10.5771/9783845236391

Christoph Badenheim - Die Corporate Governance der Bankaktiengesellschaft

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Christoph Badenheim

Die Corporate Governance der Bankaktiengesellschaft

Series: Bank- und kapitalmarktrechtliche Schriften des Instituts für Bankrecht Köln

Volume 42 2022

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Literaturverzeichnis S. 481-535

„… TEES_TFRISKCRISIS/Documents/turner_review.pdf Financial Stability Board, Consultative Document – Effective Resolution of Systemically Important …” „… Financial Stability Board, Key Attributes of Effective Resolution Regimes for Financial Institutions …” „… : https://www.fsb.org/wp-content/uploads/r_0904b.pdf Financial Stability Board, Principles of Sound Compensation Practices – Implementation …”

Titelei/Inhaltsverzeichnis S. 1-32

„… Festschrift FSB Financial Stability Board gem. gemäß Geo. L. J. Georgetown Law Journal Georgia L. Rev. Georgia …” „… Quantitative Analysis J. Fin. Reg. Journal of Financial Regulation J. Fin. Stab. Journal of Financial Stability …” „… . Annual Review of Financial Economics AöR Archiv des öffentlichen Rechts Ariz. L. Rev. Arizona Law Review …”

3. Kapitel: Bankgesellschaftsrecht als Risikopräventionsrecht S. 372-473

„… : Governance of Financial Institutions, Rn. 11.60; International Monetary Fund, Global Financial Stability …” „… . 279, 281 (2015); Laeven/ Ratnovski, Corporate Governance of Banks and Financial Stability, VOX CEPR …” „… ). 1652 Vgl. International Monetary Fund, Global Financial Stability Report (2014), S. 105, 126, wonach …”

2. Kapitel: Die Modifikation der internen Corporate Governance durch das Bankaufsichtsrecht („Bankgesellschaftsrecht“) S. 122-371

„… interests.”); Devriese/Dewatripont/Heremans/Nguyen, in: National Bank of Belgium, Financial Stability Review …” „… .; Kirkpatrick, OECD Journal: Financial Market Trends Vol. 2009/1, S. 61, 70; eingehend Engert, in: Reshaping …” „… , “Kerviel is a symptom of a banking malaise“, Financial Times Online vom 6.10.2010, abrufbar unter …”

1. Kapitel: Bank Governance als Sonderfall der Corporate Governance S. 43-121

„… , Financial Stability Review 2004, S. 95, 98; Hartmann-Wendels/Pfingsten/Weber, Bankbetriebslehre, S. 326 f …” „… : National Bank of Belgium, Financial Stability Review 2004, S. 95, 98; Hellwig, 131 SJES 723, 733 (1995 …” „… Börsenaufsichtsbehörde U.S. Securities and Exchange Commission (SEC), verwendet. 26 Cadbury Committee, The Financial …”

doi.org/10.5771/9783748931034

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Hannes Schuster

Vergütungen in Banken

Series: Wettbewerb und Regulierung von Märkten und Unternehmen

Volume 54 2022

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Anhang S. 501-504

„… for SoundCompensation Practices – Implementation Standards“ desFinancial Stability Boards vom 25 …” „… berücksichtigen. Da sich alle Staaten der G20 zurUmsetzung der Grundsätze des Financial Stability …” „… Boardsverpflichtet haben, leisten wir damit auch einen wichtigenBeitrag, um ein weltweites Level Playing Field …”

Literaturverzeichnis S. 505-596

„… , http://www.actuaries.org/CTTEES_TFRISK CRISIS/Documents/turner_review.pdf, Abruf: 30.4.2022. Financial Stability Board (Compensation 2009 …” „… te-fsb-launches-peer-review-on-compensation-and-invites-feedback-from-stakehold ers/, Abruf: 30.4.2022. Literaturverzeichnis 535 Financial Stability Board (Review 2010 …” „… ): Thematic Review on Compensation – Peer Review Report, Basel 2010. Financial Stability Board (Compensation …”

4. Gesetzgeberische Maßnahmen zur Regulierung von Vergütungen in Deutschland S. 203-344

„… KOMMISSION (Vergütungspolitik 2010), S. 10; THE FINANCIAL CRISIS INQUIRY COMMISSION (Report 2011), S. 61–62 …” „… Prozent höher als in anderen Branchen. Vgl. aus-führlich und mit Beispielen THE FINANCIAL CRISIS INQUIRY …” „… FINAN-CIAL CRISIS INQUIRY COMMISSION (Report 2011), S. 61–62; FRÜH, ANDREAS (Vorbemerkung 2016), Rn. 2. Die …”

Titelei/Inhaltsverzeichnis S. 1-28

„… Arbeiten des Financial Stability Forums beziehungsweise des Financial Stability Boards als Grundlage der …” „… Board/Finanzstabilitätsrat FSF Financial Stability Forum/Finanzstabilitätsforum G20 Gruppe der zwanzig wichtigsten …” „… Finan-cial Stability Boards Aufbau der Institutsvergütungsverordnung im Überblick Überblick über die …”

3. Zur Notwendigkeit und Begründung aufsichtsrechtlicher Vergütungsregulierung S. 149-202

„… risikoärmeren und langfristig ertragreicheren Strategie manifestieren. Vgl. FINANCIAL STABILITY BOARD …” „… . FINANCIAL STABILITY FORUM (Compensation 2009), S. 1; FLEISCHER, HOL-GER (Vorstandsvergütung 2009), S. 801 …” „… , BERND (Risikomanagement 2000), S. 41; FINANCIAL STABILITY FORUM (Compensation 2009), S. 1; DUPLOIS …”

doi.org/10.5771/9783748935278

Caroline Bronnert-Härle - Aufsichtsratsausschüsse als neue Akteure der internen Corporate Governance von Banken

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Caroline Bronnert-Härle

Aufsichtsratsausschüsse als neue Akteure der internen Corporate Governance von Banken

Series: Schriften zum Gesellschafts-, Bank- und Kapitalmarktrecht

Volume 58 2016

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Literaturverzeichnis S. 353-374

„… Bank of Belgium, Financial Stability Review 2004, abrufbar unter http://www.nbb.be/doc/ts/Publicati …” „… , NBB Financial Stability Review 2004, S. Die Deutsche Kreditwirtschaft, Stellungnahme zum Entwurf für …” „… Financial Stability Perspective, abrufbar unter http://ssrn.com/abstract=1024693 (zuletzt abgerufen am …”

§ 2 Allgemeine Grundlagen der Corporate Governance S. 26-33

„… ; Devriese/Dewatripont/Heremans/Nguyen, NBB Financial Stability Review 2004, S. 95, 96. 23 v. Werder, in: Hommelhoff/Hopt/v. Werder …” „… . Während diese im angelsächsischen Raum mit dem Board-System monistisch organisiert ist und über eine …”

§ 4 Aufsichtsrechtliche Grundlagen der Corporate Governance S. 53-68

„… / Dewatripont/Heremans/Nguyen, NBB Financial Stability Review 2004, S. 95, 98. 217 Sog. „direkte“ Ansteckung oder Übertragung …” „… Paper No. 207 (2013), S. 17, 19 f.; Devriese/Dewatripont/Heremans/Nguyen, NBB Financial Stability Review …” „… , FRBNY Economic Policy Review 9 (2003), 91, 97 f.; Devriese/Dewatripont/Heremans/ Nguyen, NBB Financial …”

doi.org/10.5771/9783845273549

David Ziefle - Die variable Vergütung in Instituten als Teil des Risikomanagements

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David Ziefle

Die variable Vergütung in Instituten als Teil des Risikomanagements

Series: Studien zum Arbeitsrecht

Volume 25 2018

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Literaturverzeichnis S. 419-438

„… Issues for Banks. A Financial Stability Perspective, 2007, abrufbar unter: http://ssrn.com/abstract …” „… .org/images/ PDF/Financial_Reform-A_Framework_for_Financial_Stability.pdf, zuletzt am 10. Juni 2017 …” „… – Ein Schritt auf dem Weg zum Board-System?, DB 2010, S. 377-383. Deilmann, Barbara/Otte, Sabine …”

D. Historischer Überblick über die Vergütungsregulierung in Instituten S. 78-92

„… bindend sind. Financial Stability Board: „Principles for Sound Compensation Practices – Implementation …” „… 2009 veröffentlichte das in Financial Stability Board (FSB) umfirmierte ehemalige FSF die „Principles …” „… . Financial Stability Board 81 on – Implementation Standards“. Dieses Papier enthält eine Vielzahl konkreter …”

Titelei/Inhaltsverzeichnis S. 1-28

„… AlleinvorstößeIV. 81 Financial Stability Board: „Principles for Sound Compensation Practices – Implementation …” „… Finanzmarktstabilisierungsfondsgesetz FMStFV Finanzmarktstabilisierungsfonds-Verordnung FSB Financial Stability Board FSF Financial …” „… Historischer Überblick über die Vergütungsregulierung in Instituten D. 78 Financial Stability Forum: „Report of …”

C. Vergütungsregulierung als Teil des Risikomanagements S. 50-77

„… Finanzsystem fungierende Financial Stability Forum (FSF) bzw. ab Mitte 2009 in Financial Stability Board (FSB …” „… , 601, 621. 90 Vgl. Abschnitt B II 1 a) bb) (1). 91 Heremans, A Financial Stability Perspective …” „… Amerika. 86 John/Saunders/Senbet, Review of financial studies, 2000, 13 (1), 95, 95. 87 …”

doi.org/10.5771/9783845288475

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