Publications

2017

Journal

 

1) DA Zetzsche, RP Buckley, DW Arner, & JN Barberis, “From FinTech to TechFin: The Regulatory Challenges of Data-Driven Finance”, (with Ross Buckley, Douglas Arner, Janos Barberis), accepted for publication by New York University J. Law & Bus. - forthcoming Winter 2017-18

2) DW Arner, DA Zetzsche, RP Buckley & JN Barberis, “FinTech and RegTech: Enabling Innovation while Preserving Financial Stability” accepted for publication by the Georgetown Journal of International Affairs, for a symposium issue, forthcoming Fall issue, 2017.

3) DA Zetzsche, DW Arner, RP Buckley & JN Barberis, “FinTech, RegTech and Smart Regulation? - - Of Deregulation, Leniency, Piloting and Regulatory Sandboxes”, article manuscript almost complete and ready for submission to a leading journal.

4) D Zetzsche, R Buckley, D Arner, “The Distributed Liability of Distributed Ledgers: Legal Risks of Blockchain”, Working Paper almost completed. 

5) John Flood, ‘Foreword: Professions as Contingent Structures in a Perilous World’ (2017) 40 University of New South Wales Law Journal 211.

6) Justine Rogers, Dimity Kingsford Smith and John Chellew, ‘The Large Professional Service Firm: A New Force in the Regulative Bargain’ (2017) 40 University of New South Wales Law Journal 218.

7) Hugh Breakey and Charles Sampford, ‘Employed Professionals’ Ethical Responsibilities in Public Service and Private Enterprise: Dilemma, Priority and Synthesis’ (2017) 40 University of New South Wales Law Journal 262.

8) Graham Greenleaf, ‘Review Essay: Technology and the Professions: Utopian and Dystopian Futures’ (2017) 40 University of New South Wales Law Journal 302.

9) Hugh Breakey, ‘Building Ethics Regimes: Capabilities, Obstacles and Supports for Professional Ethical Decision-Making’ (2017) 40 University of New South Wales Law Journal 322.

10) John K Morgan and Pamela Hanrahan, ‘Professional Indemnity Insurance: Compensating Consumers and Regulating Professionals’ (2017) 40 University of New South Wales Law Journal 353.

11) Hugh Breakey and Charles Sampford, ‘National Exams as a Tool for Improving Standards: Can Australian Financial Advisors Take a Leaf from the Professionals’ Book?’ (2017) 40 University of New South Wales Law Journal 385.

12) Dimity Kingsford Smith, Justine Rogers and Thomas Clarke ‘Banking and the Limits of Professionalism’ (2017) 40 University of New South Wales Law Journal, 411-455.

13) Scott Donald, ‘The application of the Basel III framework to the cash deposits held by APRA-regulated superannuation funds’ (2017) 28(1) Journal of Banking and Finance Law and Practice 33.

14) Scott Donald, ‘The world according to Bernie’ (2017) 29(3) Australian Superannuation Law Bulletin 39.

15) Scott Donald, ‘On rights, powers and duties’ (2017) 29(4) Australian Superannuation Law Bulletin 59.

16) Deborah Healey and Rob Nicholls, ‘Enhancing Competition: Challenges for Australian Retail Banking’ (2017) 28 Journal of Banking and Finance: Law and Practice 48.

17) Rob Nicholls, ‘Rights and Wrongs for Implanting Military RFID’ (2017) 36(1) IEEE Technology and Society Magazine 48.

18) Martin Cave and Rob Nicholls, ‘The use of spectrum auctions to attain multiple objectives: Policy Implications’ (2017) 41 (5–6) Telecommunications Policy, 367.

19) Rob Nicholls, ‘The Australian Telecommunications Regulatory Environment: An Overview’ (2017) 4(4) Australian Journal of Telecommunications and the Digital Economy 196.

20) Nehme M, ‘The rise of crowd equity funding: where to now? International Journal of Law in Context 1-24 2017 

21) Armson E, ‘Flexibility in Decision-Making: An Assessment of the Australian Takeovers Panel’ (2017) 40 University of New South Wales Law Journal 460

 

Books

1) Scott Donald, ‘Climate Change and fiduciary investors: weathering a disaster scenario’ in Rosemary Lyster and Rob Verchick (eds.) Climate Disaster Law: Barriers and Opportunities (Edward Elgar: forthcoming in 2017).

2) Dimity Kingsford Smith and Olivia Dixon, “What Next for the Financial Consumer: More disclosure? Caveat Vendor? Fin-Tech Online?’ in Howells, Ramsay and Wilhelmsson (eds) Handbook of Research on International Consumer Law (forthcoming 2017)

 

2016
Journal
  • R. Buckley, 'Reconceptualizing Global Financial Regula-tion' (2016) 36 Oxford Journal of Legal Studies 242.
  • R. Buckley, D. Arner and J. Barberis, 'The Emergence of RegTech 2.0: From Know Your Customer to Know Your Data' (2016) 44 Journal of Financial Transformation 79.
  • R. Buckley, D. Arner and J. Barberis, '150 Years of FinTech: An Evolutionary Analysis' (2016) 3 JASSA 22.
  • R. Buckley, D. Arner and J. Barberis, 'The Evolution of FinTech: A New Post-Crisis Paradigm?' (2016) 47 Georgetown Journal of International Law 1271.
  • R. Buckley and I. Mas, 'Coming of Age of Digital Payments as a Field of Expertise' (2016) 2016 University of Illinois Journal of Law, Technology and Policy 71.
  • R. Buckley and R. Stanley, 'Protecting the West, Excluding the Rest: The Impact of the AML/CTF Regime on Financial Inclusion in the Pacific, and Potential Responses' (2016) 17 Melbourne Journal of International Law 1.
  • R. Buckley and S. Webster, 'FinTech in Developing Coun-tries: Charting New Customer Journeys' (2016) 44 Journal of Financial Transformation 151.
  • RP Buckley, D Arrner, and E Avgouleas, (eds) Reconceptual-ising Global Finance and Its Regulation, Cambridge Universi-ty Press, New York, 2016, 1-467
  • M. S. Donald, 'Don’t judge a trustee’s books by their cover …’ (2016) 28(9) Australian Superannuation Law Bulletin 127.
  • M. S. Donald, 'Of covenants and pygmy hippos’ (2016) 28(5) Australian Superannuation Law Bulletin 68.
  • M. S. Donald, H. Bateman, R. Buckley, K. Liu and R. Nicholls ‘Too Connected to Fail: The Regulation of Systemic Risk within Australia's Superannuation System’ (2016) 2(1) Journal of Financial Regulation 56.
  • M. S. Donald and S. Le Mire, 'Independence and the govern-ance of Australian superannuation funds’ (2016) 31 Australian Journal of Corporate Law 80.
  • M. Dowell-Jones and R. Buckley, ‘Bank levies in Australia: Lessons from Europe’ (2016) 27 Journal of Banking and Fi-nance Law and Practice 24.
  • D. J. Healey and R. Nicholls, 'Should Stability Reign? The Consumer Downside of Foregone Competition in Retain Banking Markets' (2016) 32 Banking and Finance Law Re-view 69.
  • M. J. Legg, 'A Comparison of Regulatory Enforcement, Class Actions and Alternative Dispute Resolution in Compensating Financial Consumers' (2016) 38 The Sydney Law Review 311.
  • R. Nicholls, ‘Spectrum Management Issues for Heterogene-ous Networks in Commons Spectrum’ (2016) 18(4) info 1.
  • D. Ramos, J. Solana, R. Buckley and J. Greenacre, ‘Protecting Mobile Money Customer Funds in Civil Law Juris-dictions’ (2016) 65(3) International & Comparative Law Quar-terly 705.
Book
  • P. Hanrahan and J. Farrar, Corporate Governance (LexisNexis, 2016)
  • R. Buckley and D. Arner, From Crisis to Crisis: The Global Financial System and Regulatory Failure (Kluwer Law Inter-natonal, The Hague, 2011) translated into Chinese and re-published by China University of Political Science and Law Press, Beijing (2016).
Research Paper Series 
  • Independence and the Governance of Superannuation Funds M Scott Donald and Suzanne Le Mire (16-1)
  • A Servant of Two Masters? Conflicts of Duty in the Australian Financial Services Industry M Scott Donald (16-2)
  • Independence in Practice: Superannuation Fund Governance through the Eyes of Fund Directors  M Scott Donald and Suzanne Le Mire (16-3)
  • A National Exam for Financial Advisers: Panacea, check-box or integrity system?,  Hugh Breakey and Charles Sampford (16-4)
  • Structural Types of Professional Regulation: Comparative Case Studies in Australia and the UK ,  John Chellew and Alex Roberts (16-5)
  • Professional Indemnity Insurance: Compensating Consumers and  Regulating Professionals, John K Morgan and Pamela Hanrahan (16-6)
  • The Promise of Professionalism in the 21st Century, Justine Rogers, Dimity Kingsford Smith, Thomas Clarke and John Chellew (16-7)
  • FinTech, RegTech and the Reconceptualization of Financial Regulation, Douglas W. Arner, Janos Nathan Barberis and Ross P. Buckley (16-8)

 

 

2015
Journal
  • W Zhou, DW Arner, and RP Buckley, ‘Regulation of Digital Financial Services in China: Last Mover Advantage?’ (2015) Tsinghua China Law Review 8(1)
  • RP Buckley, ‘Reconceptualizing the Regulation of Global Fi-nance’ (2015) Oxford Journal of Legal Studies (Advanced access)
  • RP Buckley and F Lupo-Pasini, ‘Global Systemic Risk and International Regulatory Coordination: Squaring Sovereignty and Financial Stability’ (2015) American University Interna-tional Law Review 30(4)
  • F Lupo-Pasini and RP Buckley, ‘International Coordination in Cross-Border Bank Bail-ins: Problems and Prospects’ (2015) European Business Organization Law Review 16 (2)
  • A Butt, MS Donald, FD Foster, S Thorp, and G Warren 'The Australian superannuation system post Stronger Super: views from fund executives' (2015) 9(2) Law and Financial Markets Review 106
  • MS Donald and R Nicholls ‘Bank custodians and systemic risk in the Australian superannuation system' (2015) 26 Jour-nal of Banking and Finance Law and Practice 25
  • A Butt, MS Donald, FD Foster, S Thorp, and GJ Warren ‘Design of MySuper default funds: influences and out-comes’ (2015) Accounting & Finance
  • RP Buckley and L Malady, "Building Consumer Demand for Digital Financial Services – The New Regulatory Frontier -- Part II”, (2015) The Banking Law Journal 132 (1)
  • E Gibson, F Lupo Pasini and RP Buckley, “Regulating Digital Financial Services Agents in Developing Countries to Pro-mote Financial Inclusion”, (2015) Singapore Journal of Legal Studies 26-45
  • J Greenacre, RP Buckley and L Malady, “The Regulation of Mobile Money: A Case Study of Malawi", (2015) 14 Global Stud-ies Law Review 435-497
  • RP Buckley, RH Weber & M Dowell-Jones, “A Swiss Finish for Australia? – Ways to Enhance the Resilience of Systemically Important Banks”, (2015) 10 (1) Capital Markets Law Journal 41-70
Book chapters
  • B Morgan "Upside Down and Inside Out: Regulators and Regulatory Processes in Contemporary Perspective" in The Handbook of Law and Society, (eds A. Sarat and P. Ewick) Wiley Press: Hoboken 2015, pp 150-167
  • RP Buckley and W Zhou, “Negotiating the International Eco-nomic Legal Order: Who Has Done Best, China or the West?”, in Picker, Toohey & Greenacre (eds), China in the New Interna-tional Economic Order: New Directions and Changing Para-digms, (New York: Cambridge University Press, 2015)
  • RP Buckley, “From regional fragmentation to coherence: a way forward for East Asia”, in Mercurio & Lim (eds), Interna-tional Economic Law after the Crisis: A Tale of Fragmented Disciplines, (Cambridge: Cambridge University Press, 2015) 107-133
  • B.Morgan and S.Sterett, “Regulation and Administration”. in International Encyclopedia of the Social & Behavioral Scienc-es, (ed J. Wright) 2nd edition, Vol 20. Oxford: Elsevier 2015. pp. 160–165
Government submissions
  • RP Buckley ‘Submission to the Australian Payments Plan Consultation: Shaping the Future of Australian Payments’, July 2015.
  • MS Donald ‘Submission to Treasury on Independence of Di-rectors on Superannuation Funds’, July 2015.
  • RP Buckley, L Malady & E Gibson ‘Submission to Treasury on Financial System Inquiry Final Report – Purchased Pay-ment Facilities’, March, 2015.
Research Paper Series
  • It’s a Small World after all: Using social network analysis to investigate systemic risk in the Australian superannuation sector  Rob Nicholls and Kevin Liu (15-1)
  • The Nature of Competition in Australian Retail Banking Rob Nicholls and Carolyn Evans (15-2)
  • Balancing Competition and Stability in Australian Retail Banking Rob Nicholls and Deborah Healey (15-4)
  • Product Intervention Powers: a Legal, Comparative & Policy Analysis, Dimity Kingsford Smith and Marine Nehme (15-5)
  • Regulatory Handbook: The Enabling Regulation of Digital Financial Services, Louise Malady, Ross Buckley and Cheng-Yun Tsang (December 2015) 1-124

 

 

 

2014
Journal
  • M. Bowman, ‘Development and Global Sustainability: The Case for Corporate Climate Finance’ (2014) Harvard College Review of Environment & Society 8.
  • M. Bowman, G. Gilligan and J. O’Brien, ‘Foreign Investment Law and Policy in Australia: A Critical Analysis’ (2014) Law and Financial Markets Review 6.
  • M.S. Donald, ‘The proper approach to a trustee’s right to indemnity out of trust assets’ (2014) 8 Journal of Equity 283
  • M.S. Donald, J. Ormiston and K.  Charlton, ‘The potential for superannuation funds to make investments with a social impact’ (2014) 32 Companies and Securities Law Journal 540.
  • G. Gilligan and M. Bowman, ‘State Capital: Global and Australian Perspectives’ (2014) 37(2) Seattle University Law Review 597.
  • G. Gilligan and D. Song, ‘Smog, Self Interest and Regulating Markets: The Commons Approach and the Establishment of the European Union Emissions Trading Scheme’ (2014) Law and Financial Markets Review 361.
  • G. Gilligan, ‘Perspectives: Whistleblowing protections and judicial activism in the US Supreme Court’, (2014), 8 (1) Law and Financial Markets Review 4. 
  • R. Nicholls, ‘Something to remember him by: Commissioner Joaquίn Almunia’s farewell gift’ (2014) Law and Financial Markets Review315.
  • R. Nicholls and J. O’Brien, ‘Hanging Together or Hanging Separately: Is Competition Law in the Process of Eclipsing Financial Regulation?’ (2014) 8 (2) Law and Financial Markets Review 178.
  • J. O’Brien, ‘Disputatious Allies or Political Rivals: Inter-Governmental Relations in Financial Regulation in the Aftermath of the Standard Chartered Settlement’ (2014) 8 Law and Financial Markets Review 13.
  • J. O’Brien, ‘Culture, Codes of Conduct and the Limits of Enforcement’ (2014) 8 Law and Financial Markets Review 1.
  • J. O' Brien,  G. Gilligan & S. Miller. ‘Culture and the Future of Financial Regulation: How to Embed Restraint in the Interests of Systemic Stability’ (2014) 8 (2) Law and Financial Markets Review115.
  • J. O’Brien, ‘Culture Wars: Rate Manipulation, Institutional Corruption and the Lost Normative Foundations of Market Conduct Regulation’ (2014) 37 Seattle University Law Review 375. 
  • J. O’Brien and O. Dixon, ‘Deferred Prosecutions in the Corporate Sector: Lessons from Libor’ (2014) 37 Seattle University Law Review 475. 
  • J. O’Brien, ‘Too Big to Fail or Too Hard to Remember: Lessons from the New Deal in Dealing with Systemically Important Institutions’ (2014) 8(3) Law and Financial Markets Review 249
  • J. O’Brien, ‘Fixing the fix: governance, culture, ethics and the extending perimeter of financial regulation (2014) Law and Financial Markets Review 373.
 
Book Chapters
  • R. Nicholls ‘Broadcasting Regulation’ in A Companion to the Australian Media, ed. Bridget Griffen-Foley. Melbourne: Australian Scholarly Publishing, October 2014.
  • R. Nicholls ‘Telstra’ in A Companion to the Australian Media, ed. Bridget Griffen-Foley. Melbourne: Australian Scholarly Publishing, October 2014.
  • J. O’Brien, ‘Professional Obligation, Ethical Awareness and Capital Market Regulation’ in N. Morris and D. Vines (eds.), Capital Failure (Oxford: Oxford University Press, 2014).

 

Research Paper Series