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Effective Bank Regulation and Supervision: Lessons from the Financial Crisis

Saturday, 08 May 2010 15:29

By Steven I Davis

 

Published: 1 June 2010

150 pages

ISBN 978-1-907720-02-4 (hardback)

SBN 978-1-907720-00-0 (paperback)

 

Hardback: £50/US$75/€58 plus p&p

Paperback: £25/US$37.50/€29 plus p&p

PDF: UK £25+ VAT/EU €29 + VAT/RoW US$37.50

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Description

What works – and what doesn’t – in one of the most important and hotly debated aspects of the future of the financial system

A new and unique insider view of what actually works, what ought to work, what prevents it from working, and what needs to be done about it – industry experts who have to implement and work within regulatory systems give the real best practice picture

“… Required reading for anyone with a stake in strengthening the financial system – which is pretty much all of us."
Robert P. Kelly, Chairman and CEO, BNY Mellon

Click here to see full contents
Click here for a FREE SUMMARY

The recent financial crisis has unleashed a flood of views on what happened, why it happened, and what new regulatory measures and structures might prevent or mitigate such crises in the future. Effective Bank Regulation and Supervision: Lessons from the Financial Crisis takes a different approach.  Based on in-depth interviews with more than 30 senior, experienced bankers, regulators and supervisors, academics, management consultants, ratings agencies and securities analysts, all deeply involved in the regulatory process, it seeks to answer two key questions:

Which bank regulators around the world have demonstrated relatively superior results in terms of regulatory outcomes? and

What lessons for the future can be drawn from their experience?

The result is a ground-breaking insight into the likely future success of bank regulation and the key factors which will determine such outcomes.

The role of regulation or supervision in the future stability of the global banking system has never been more important than now, and never has the conduct of banks and their regulators been under closer scrutiny. How can regulation work without effective supervision? And what about the virtues of principles-based, as opposed to rules-based regulation? Among the hundreds of bank regulators around the world are examples of what works and what doesn’t as the ‘new normal’ in bank regulation is introduced. By gathering as much evidence as possible of best regulatory practice under fire during the recent financial crisis, Effective Bank Regulation and Supervision: Lessons from the Financial Crisis provides some thoughtful insights and positive lessons for regulators and those responsible for the regulatory function – and to lay out clearly the conclusions from their collective experience.

 

Research participants include:
Institutions
APRA
Banca de Espana
Banca de Espana
Banca d’Italia
BNY Mellon
BaFin
Bankinter
Banque de France/Commission Bancaire
Boston Consulting Group
CBFA
Citibank
Deutsche Bank
Fitch Ratings
Financial Services Authority (UK)
Financial Supervisory Authority of Norway
HSBC
Lloyds Banking Group
Oliver Wyman
McKinsey & Co
OSFI
Office of the Comptroller of the Currency
Promontory Financial Group
Sandler O’Neill
State Street Bank
Swedbank

Individuals
Claudio Borio
Clive Briault
Professor James Barth
Larry Fish
Edward Ladd
Professor David Llewellyn

 

Download the FREE SUMMARY in PDF format here: Summary 491.14 Kb

 

Download the Contents listing in PDF format here:  Contents.pdf 464.53 Kb

 

LOOK INSIDE the book - click below to open

 

 

Reviews

Praise for Effective Bank Regulation and Supervision: Lessons from the Financial Crisis
“… Required reading for anyone with a stake in strengthening the financial system – which is pretty much all of us."
Robert P. Kelly, Chairman and CEO, BNY Mellon

“Steve Davis has always been innovative in looking at the banking industry, and in writing about its challenges and opportunities.  Highlighting the various regulators’ roles, both in their benefits and shortcomings, will usefully inform the debate on the future shape of the industry.”
Sir Win Bischoff, Chairman, Lloyds Banking Group plc

“This is a tour de force of bank regulation. Steve Davis provides an excellent insight into bank regulatory systems, investigating the mechanics of who got it right and who failed in providing appropriate oversight of their banking systems over the crisis. A series of lucid and insightful bank regulator case studies reports the experiences of key players and highlights major areas for reform. A must-read for anyone interested in bank regulation pre- and post-crisis.”
Professor Philip Molyneux, Bangor University

Contents

 

 

Key topics:
Chapter 1    Introduction and overview
Chapter 2    Anatomy of the banking crisis
Chapter 3    The emerging new model of financial regulation
Chapter 4    Regulatory structure and policy
Chapter 5    The role of professional skills
Chapter 6    Politics and bank regulation
Chapter 7    Regulatory authority case studies
Chapter 8    Lessons from the past and the outlook for the future
Chapter 9    Conclusions

Click here to see full contents
Click here for a FREE SUMMARY

Research participants

Institutions
APRA
Banca de Espana
Banca d’Italia
BNY Mellon
BaFin
Bankinter
Banque de France/
Commission Bancaire
Boston Consulting Group
CBFA
Citibank
Deutsche Bank
Fitch Ratings
Financial Services Authority (UK)
Financial Supervisory Authority of
Norway
HSBC
Lloyds Banking Group
Oliver Wyman
McKinsey & Co
OSFI
Office of the Comptroller of the
Currency
Promontory Financial Group
Sandler O’Neill
State Street Bank
Swedbank

Individuals
Claudio Borio
Clive Briault
Professor James Barth
Larry Fish
Edward Ladd
Professor David Llewellyn

Author

Steven I DavisSteven I Davis has spent his career in the banking and financial services sector as a senior executive, strategy consultant, author, analyst and teacher.  He is a graduate (magna cum laude) of Amherst College and of the Harvard Business School.

His 20-year career in international banking commenced at JPMorgan, where he managed a Paris-based research and M & A unit.  For Bankers Trust Company, he ran a venture capital subsidiary in New York and later the bank’s European businesses from a London headquarters.  Subsequently he set up and managed for six years the London-based merchant banking subsidiary of First International Bancshares of Dallas, Texas.

Since establishing Davis International Banking Consultants (DIBC) in 1980, he has managed several hundred strategy assignments for commercial and investment banks, global fund managers, insurers and other financial institutions.  In 1993, he headed a DIBC team which advised the Norwegian Ministry of Finance on the restructuring of the country’s banking sector during the Nordic banking crisis.  In addition, he and his colleagues have prepared over 60 research reports on the financial sector for publication by investment banks and other clients.

Mr. Davis is also the author of 14 books and reports published on best practice in the financial services sector.

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