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| Author: | Bear, L. A. Maldonado-Bear, R. |
| Title: | The securities industry and the law |
| Journal: | Journal of Banking and Finance
2002 : SEP, VOL. 26:9, p. 1867-1888 |
| Index terms: | ETHICS LAW SECURITIES SECURITY INDUSTRY |
| Language: | eng |
| Abstract: | The authors examine the interplay of markets, ethics and law, and rising demand for ethical behavior in a market driven society coping with the promise and peril of rapid technological innovation. The authors analyze the market affecting role of the authors' Common Law/Rule of Law System, its adaptability to social need, and resultant legal and regulatory action promoting adherence to the spirit as well as the letter of the law. The authors provide examples of manager and firm harm from sanctions imposed despite adherence to "the rules." Finally, the authors discuss competitive market-common law interplay in the coming era of the genome. The paper provides a substantial list of references on this subject. |
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