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- W1480811042 abstract "The March 2005 revamping of regulation CRBF n°97-02, relating to the internal control of investment firms and banks, allowed the French regulator to institutionalize, in law, the compliance risk. This concept allows for a new examination of the control of financial activities, with reference to the compliance function. This very specific function does not act retrospectively, once the practice has materialized, but more often takes place where practices emerge. The function also calls for a look into the dialectic that has animated the field of financial control for twenty years now, between two possible interpretations of the concept of “control”. This article attempts a characterization of this dialectic up the genealogy of texts, and through the restitutions of control situations observed in a trading room. La revision en mars 2005 du reglement CRBF n°97-02, relatif au controle interne des entreprises d’investissement et des etablissements de credit, a permis au legislateur francais d’institutionnaliser en droit le risque de non-conformite. Cette notion permet d’interroger a nouveaux frais la question du controle des activites financieres, en reference a la fonction conformite : fonction specifique ne se contentant pas d’intervenir a posteriori, mais bien plus souvent au lieu meme d’emergence des pratiques, celle-ci permet d’illustrer la dialectique qui a anime le champ du controle financier depuis une vingtaine d’annees, entre deux interpretations possibles de la notion de « controle ». L’article presente tente une caracterisation de cette dialectique en remontant la genealogie des textes, et en examinant des situations de controle en salle de marche." @default.
- W1480811042 created "2016-06-24" @default.
- W1480811042 creator A5067042819 @default.
- W1480811042 date "2010-01-01" @default.
- W1480811042 modified "2023-09-26" @default.
- W1480811042 title "From Internal Control to the Compliance of Financial Practices - The Crossed Influences of Two Normative Bodies Du Contrôle Interne À La Conformité Des Actes Financiers: Influences Croisées De Deux Corps Normatifs" @default.
- W1480811042 doi "https://doi.org/10.2139/ssrn.1646256" @default.
- W1480811042 hasPublicationYear "2010" @default.
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