- Private Regulation series
Chapter 1: Private regulation of internationally active financial services firms
The topic of financial private regulation and enforcement concerns the activities of private firms in the financial sector which are involved in cross-border activities – Citigroup, Bank of America, HSBC, UBS, JPMorgan Chase, RBS, BNP Paribas, Barclays, Morgan Stanley, Goldman Sachs, Deutsche Bank, HBOS, Société Générale, Banco Santander, American Express, Nomura, and so on. For convenience of reference, I will refer to this type of organization as an ‘internationally active financial services firm’ (IAFSF). This chapter will categorize different types of private regulation and enforcement applicable to IAFSFs and then will offer some tentative thoughts about the underlying forces that may determine the phenomena under observation. The principal subject of investigation will be the activities of IAFSFs under US law, but attention will be given to international standards and regulations as well.
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