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Doctoral Thesis
DOI
10.11606/T.101.2013.tde-12112013-105022
Document
Author
Full name
Nora Matilde Rachman
E-mail
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2013
Supervisor
Committee
Lins, Maria Antonieta Del Tedesco (President)
Badin, Michelle Ratton Sanchez
Prado, Viviane Muller
Schor, Adriana
Tang, Yi Shin
Title in Portuguese
Caminhos da cooperação regulatória no mercado de capitais
Keywords in Portuguese
Cooperação regulatória
Economia política internacional
Operações transfronteiriças
Padrões internacionais
Regulação dos mercados de capitais
Abstract in Portuguese
A recente crise financeira global trouxe para o centro do debate internacional o tema da regulação dos mercados de capitais e, com ela, suas diversas qualificações como um fator responsável pela crise. O trabalho tem como foco entender o papel da cooperação internacional em matéria regulatória e, particularmente, a existência de incentivos, preferências, ideias e instituições inerentes à cooperação entre estados. Para tanto, realiza uma análise sistêmica de iniciativas regulatórias tomadas por quatro países entre 2007 e 2011, com o fim de verificar a existência de padrões, modalidades específicas e os caminhos da cooperação na regulação do mercado de capitais. Tendo como gatilho a eclosão da crise financeira global, os principais resultados apontam para um efetivo escrutínio doméstico das recomendações internacionais editadas e, em consequência, uma ampliação do conceito de cooperação regulatória. O que se verifica é que, além das atividades de supervisão e enforcement, emergem iniciativas regulatórias com diversos elementos e formatos comuns, que levam em conta a interação dos determinantes políticos e consequências econômicas advindos desse momentum.
Title in English
Pathways to regulatory cooperation in capital markets
Keywords in English
Capital markets regulation
Cross-border transactions
International political economy
International standards
Regulatory cooperation
Abstract in English
The recent global financial crisis brought to the center of international discussion the debate concerning the regulation of capital markets, including its many variances, as a factor responsible for the crisis. The focus of this work is on the role of international cooperation in regard to regulation, with specific attention given to particular aspects such as the existence of incentives, preferences, ideas, and institutions inherent to cooperation between states. As such, this dissertation will provide a systematic analysis of regulatory initiatives taken by four countries between the years 2007 and 2011. The goal was to verify the existence of patterns, specific models, as well as pathways to cooperation in the regulation of capital markets. The principle results suggest an effective domestic scrutiny of international recommendations driven mostly by the outbreak of the global financial crisis, and as a result a broader concept of what is understood as regulatory cooperation. Besides new measures of supervision and enforcement, the work verified the emergence of regulatory initiatives, with both common elements and formats that take into consideration the interaction of political determinants and economic consequences arising from this momentum.
 
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Nora_Matilde_Rachman.pdf (813.54 Kbytes)
Publishing Date
2013-11-12
 
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