August 2019
Intermediate to advanced
392 pages
14h 11m
English
Content preview from The REGTECH Book
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I Regulate, Therefore I Am? Regulating Humans’ and Machines’ Conduct and Culture
By Dr Daniel Gozman1, Jonathan Liebenau 2 and Paul Ferris3 *
1Senior Lecturer, The University of Sydney Business School
2Professor (Reader), The London School of Economics and Political Science
3CEO, ObjectTech Group
A Brave New World of Regulated Activity
Despite the widespread adoption of complex mathematical models and scientific methods, financial services firms require consumers to place trust and faith in their services and products for the economy to thrive and prosper. Yet, trust in financial and regulatory organizations has been considerably eroded following a spate of systemic breaches in firms post the financial crisis. Public fury has built regarding the roots of the Great Recession and the firms and regulators that contributed to it, resulting in a widely held perception that the financial services industry is deeply compromised through ‘cynical greed’ and ‘malpractice’.1 Examples often cited include the London Interbank Offered Rate/foreign exchange (LIBOR/FX) benchmark rate rigging scandals, protected personal information (PPI), money laundering scandals, and the deliberate misleading of investors buying mortgage-backed securities.2 This has led government and regulators to review and enhance regulations, placing an economic burden on firms to tighten their practices through more stringent regulation (second Markets in Financial Instruments Directive [MIFID II]) and accountability ...
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