Key Concepts of Financial Regulation - Rule making

6 Pages Posted: 20 Mar 2021

See all articles by Philipp Paech

Philipp Paech

London School of Economics - Law School

Date Written: February 10, 2017


Legislators and regulators use a number of concepts to cast regulatory goals into regulatory rules. This range of concepts ranges from highly intrusive, such as prohibition of a certain activity, to little intrusive, such as disclosure of certain facts. This paper systematizes the various available regulatory concepts and proves their continued validity in the context of modern technology-enabled financial services.

This paper was first written as an introductory text to one of the author's lectures on International Financial Regulation.

Keywords: financial regulation, disclosure, quantitative limitations, risk modelling, safety nets

JEL Classification: G1, K22

Suggested Citation

Paech, Philipp, Key Concepts of Financial Regulation - Rule making (February 10, 2017). Available at SSRN: or

Philipp Paech (Contact Author)

London School of Economics - Law School ( email )

Houghton Street
London WC2A 2AE, WC2A 2AE
United Kingdom

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