In the UK, financial regulators have long believed in quiet admonitions and private censure. Although few still talk openly about “light touch regulation in the UK, the philosophy remains that one should minimise regulatory intrusions into the marketplace. From this perspective, the appropriate goal of policy is to change the culture of a delinquent institution so that it becomes more compliant with the law. This implies that one should use the least drastic means necessary.
在英国,金融监管者长期以来都秉持“默默警告和“私下谴责的做法。尽管英国现在很少有人公开谈论“点到为止式的监管,人们还是信奉市场的监管干预要最小化。从这点来看,政策的合理目标就是改变有过失行为机构的文化,从而使其更加遵从法律。这意味着应该尽量避免使用极端的手段。
Although the “light touch did not work with HSBC, which persisted in wrongdoing, its final settlement with US and UK regulators incorporated this gentler, rehabilitative approach. HSBC’s senior management is now populated with compliance officials from regulators in an attempt to change the institutional culture. It is as if financial regulators decided to colonise the “rogue institution, compelling it to import persons of a “proper compliance temperament.
尽管“点到为止式的监管没有运用到一直在犯错的汇丰银行,但它与美国和英国监管机构的最终和解就融入了这种柔和的、复原的立常汇丰的高级管理层中现在有大量来自监管机构的合规官员,旨在改变其机构文化。似乎金融监管机构决定将这一“流氓机构殖民化,强迫其吸收一些有着“适当合规气质的人员。
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