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Research of Regulation about U.S. Financial Institutions

Research Project

Project/Area Number 17530080
Research Category

Grant-in-Aid for Scientific Research (C)

Allocation TypeSingle-year Grants
Section一般
Research Field Civil law
Research InstitutionDoshisha University

Principal Investigator

KAWAGUCHI yasuhiro  Doshisha University, Faculty of Law, Professor (70195064)

Project Period (FY) 2005 – 2007
Project Status Completed (Fiscal Year 2007)
Budget Amount *help
¥1,650,000 (Direct Cost: ¥1,500,000、Indirect Cost: ¥150,000)
Fiscal Year 2007: ¥650,000 (Direct Cost: ¥500,000、Indirect Cost: ¥150,000)
Fiscal Year 2006: ¥500,000 (Direct Cost: ¥500,000)
Fiscal Year 2005: ¥500,000 (Direct Cost: ¥500,000)
Keywordsfinancial institution / settlement function / safety net / public interest / 参入規制
Research Abstract

This Research consists of (1) Significance of Regulation, (2) Regulation of Entry, (3) Regulation of Financial Affairs, (4) Regulation of Transaction, (5) Resolution of Institution Failures and (6) Regulators. About (1), function of settlement is important, comparing with other enterprise. The regulation should be permitted to maintain this function. Based on this theory, banking law provides the regulation of entry. As for (2), I made researches in the rationality of charting system. Regarding (3), I focus on capital standard reflecting the riskiness of bank's loan portfolio and lending limits. Particularly, we have to keep our eyes on the revised framework Basel Committee has adopted recently. As for (4), regulation of securities activities and insurance activities should be noteworthy. The direction of this regulation has dramatically changed by the Financial Services Act of 1998. (5) examines the various way in which regulatory agencies supervise troubled and failing financial institutions. It is also important to examine safety net for the customers of financial institutions. Regarding (6), the authority of regulatory agencies in U.S. is the topic of discussion under the financial conglomerate. I will publish the results of this search as a book near future.

Report

(4 results)
  • 2007 Annual Research Report   Final Research Report Summary
  • 2006 Annual Research Report
  • 2005 Annual Research Report
  • Research Products

    (7 results)

All 2007 2006 2005

All Journal Article (6 results) Book (1 results)

  • [Journal Article] The Regulation f Financial Institutions(second edition)2007

    • Author(s)
      Yasuhiro KAWAGUCHI
    • Journal Title

      publishers : Chuou Keizaisha

      Pages: 297-297

    • Description
      「研究成果報告書概要(欧文)」より
    • Related Report
      2007 Final Research Report Summary
  • [Journal Article] 登録金融機関2007

    • Author(s)
      川口 恭弘
    • Journal Title

      金融・商事判例 別冊

      Pages: 64-69

    • Related Report
      2007 Annual Research Report
  • [Journal Article] 受託者の善管注意義務2007

    • Author(s)
      川口恭弘
    • Journal Title

      金融・商事判例 1261号

      Pages: 56-61

    • Related Report
      2006 Annual Research Report
  • [Journal Article] 金融商品取引法における行為規制2006

    • Author(s)
      川口恭弘
    • Journal Title

      金融法務事情 1779号

      Pages: 23-32

    • Related Report
      2006 Annual Research Report
  • [Journal Article] 受託者の注意義務に関する一考察2005

    • Author(s)
      川口恭弘
    • Journal Title

      同志社法学 307号

      Pages: 1-28

    • NAID

      110002323408

    • Related Report
      2005 Annual Research Report
  • [Journal Article] 事業の公益性と取締役の責任2005

    • Author(s)
      川口恭弘
    • Journal Title

      商事法務 1740号

      Pages: 10-16

    • Related Report
      2005 Annual Research Report
  • [Book] 現代の金融機関と法(第2版)2007

    • Author(s)
      川口 恭弘
    • Total Pages
      297
    • Publisher
      中央経済社
    • Description
      「研究成果報告書概要(和文)」より
    • Related Report
      2007 Annual Research Report 2007 Final Research Report Summary

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Published: 2005-04-01   Modified: 2016-04-21  

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