Theories of Securities Markets Regulation



This chapter reviews the theory of securities markets regulation through a consideration of the academic literature and debate. Although built around the framework of Western economic and political traditions, the theory has been influential in China as it represents the globally dominant paradigm. Many of China’s regulatory provisions and much of the institutional structure can be traced to this source. The chapter surveys opinions about the general nature of securities regulation: the ‘why’ of regulation, the common objectives of securities regulation, as well as the ‘what’ of regulation. The chapter also discusses the regulatory institutional structures normally used to achieve regulatory objectives.


Securities Market Regulation Regional Institutional Structures Australian Securities And Investments Commission (ASIC) Retail Investors Australian Prudential Regulation Authority (APRA) 
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© The Author(s) 2018

Authors and Affiliations

  1. 1.Monash UniversityMelbourneAustralia

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