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The Impact of e-Governance on Regulatory Compliance in Financial Institutions

Author: Jackline Frost

Supervisor: Prof. Dr. Helmut Breitmeier

 

This Thesis aims at analyzing the new e-governance methods such as (Blockchain, Decentralized exchanges-DEX, decentralized Apps-dApps) in order to explain how using them as alternative methods of regulatory governance in financial industry can help achieve compliance with financial regulations. The research on politics of regulation has followed two routes, one is the New governance regulatory path that studies alternative methods of regulatory governance and the New Institutionalism that focuses on the relationship between the legislature and the “unelected regulators who make and execute the regulations and the regulated firms. The above relationship can be basically said to be at three levels namely, “Inputs (the structures and agency influencing regulatory decision making), Outputs (the policies and regimes adopted), and outcomes (the consequences of regulation)”. Its in regards to this that the the relationship between the EU banks, the bank regulators like SEC, CFTC, ESMA and Bafin and the EU policy makers and how this relationship affects compliance will also be analyzed here. Theories of Regulation will aid in examining this relationship. Outputs of regulation, as in the Financial regulations will also be looked at in clusters so as to understand how new e-governance methods can help comply with them. In other words, this thesis offers a comprehensive analysis of regulation, and in this way bridges the research gap existing by examining both the New governance methods mentioned in the beginning above and New Institutionalism paths of regulatory governance studies. Significant for this thesis is to explain the importance of government´s involvement in regulating banks, the Democratic theory will be used to explain this. Comparative methods are also deployed to explain the differences that emerge in compliance results when new methods of e-governance as compared to the old ones are used in the regulatory governance of financial industry. All these aiming at answering the research question: To what extent can the new e-governance methods help solve the financial sectors regulatory problems?