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- 저자 : 안수현 ( Soo Hyun Ahn ) (검색결과 69 건)
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기업지배구조와 규제간의 상관성 모색: 영국의 기업지배구조법제 변천에 기초하여
안수현 ( Soo Hyun Ahn ) 한국상사판례학회 2011 상사판례연구 Vol.24 No.1
This paper investigates the relationship with corporate governance and regulation based on the lots of governance initiatives published in the period of 1990s-2010 in UK. There have been few continuous analyses to assess the performance of these changes, and to identify subsequent changes to corporate governance structures. This paper measures the extent to which the corporate governance structures in UK changed between 1990-2010 and uses this research to assess the impact of UK corporate governance revolution on Korea in the future. Since the early 1990s, the UK has witnessed a vibrant debate on corporate governance issues. The roots of this debate can be traced to a series of governance failures that led to calls for the improved regulation of companies. These incidents lead to a publication of lots of governance initiatives including Cadbury Report, Turnbull Report, Hampel Report, Rutsman Report, Greenbury Report, Myer Report, Smiths Report, Higgs report etc. during the 1990s. Based on these experiences, the current UK system has led to have largely voluntary governance codes. However, the efforts of the these report have gradually tightened the governance system since the early 1990s. The recommendations from these reports and the subsequent Codes have had a far-reaching influence on the managerial practice. Listed companies on the UK Stock Exchange are required to adhere to the Combined Code, and to report details of their compliance in their corporate reports. The Code is set of recommendation for UK Public companies, and firms are required only to disclose either their compliance with the guidlines or to give reasons for non-compliance. However, after the experience of 2007-2008 financial crisis, the environment of corporate governance has changed radially. The Financial Reporting Council(FRC) has published the new ``UK Corporate Governance Code`` which replaces the Combined Code for accounting periods beginning on or after 29 June 2010. The new Code stipulates that all directors of FTSE 350 companies be put up for reelection every year and an express reference to gender diversity in the Code principles on board appointments. In addition, despite some opposition form listed companies, the Financial Reporting Council is pressing ahead with the requirement for external evaluation of board reviews at least every three years, but initially just for FTSE 350 companies. The new Code has added additional responsibility to and emphasis on the role of the Chairman and all non-executive directors will be required to devote more time to the discharge of their responsibilities. Many of these recent corporate governance reforms allow us to look in details to corporate governance`s framework and its formation history. However this study suggests that UK corporate governance framework has been developed on the basis of the different environment such as share ownership, financial constraints and financial market.
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금융감독시스템과 금융소비자 보호: 해외 금융감독시스템 개편동향과 시사점
안수현 ( Soo Hyun Ahn ) 한국상사판례학회 2011 상사판례연구 Vol.24 No.2
Recently, the debate over fixing the fragmented financial services regulatory structures abroad is raising questions about merits of having singular regulator in Korea. Regulatory structure is important to promote robust financial consumer protection and the problem has become more acute in recent days. There are many factors that influence the financial consumer regulatory performance, which are interlinked such as independency, accountability, transparency, effectiveness, expertness, competency etc. However, issues as like what gets regulated in the financial industry, how it gets regulated, when it gets regulated and by whom are primarily regulatory turf issues and seem to be very controversial. This paper argues that although regulatory agency structure is very important and a key to have the competitiveness of a financial market, concerning the current situations faced in Korea, the most important thing is to balance and resolve the conflicting regulatory purposes within the single financial regulator. Our current financial regulatory organization has multiple goals that sometimes have conflicting policy implications to the regulatory agency. Alternatively, the goals may be assigned to more competing agency. That is said to take twin peaks models. To evaluate the effectiveness and performance of current financial regulatory system in Korea, considering and recognizing new movements of international regulatory structures reforms is necessary and of importance. This paper tries to find optimal financial regulatory structures and how to accomplish those system. To this purpose, the first section explains what is optimal financial regulatory structure and how to establish it. The second section analyzes the background and reasons of recent reforming regulatory structures in foreign countries. This section also compares the types of financial regulatory system models in details. The third section describes briefly the foreign countries` experience and each government`s plan to fix fragmented financial regulatory systems. To summarize, this paper intends to analyzes the recent international regulatory reforms and aims to evaluate the debate over regulatory agency structures and performance.
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금융투자회사의 금융소비자 보호실태 평가 및 몇가지 제안 - 금융소비자 지향성 관점에서
안수현 ( Ahn Soo Hyun ) 한국금융소비자학회 2018 금융소비자연구 Vol.8 No.1
금융감독원은 지난해 ‘2016년 금융소비자보호 실태결과’를 발표하였다. 대체로 금융감독원은 평가대상회사의 수준을 양호하다고 평가하였다. 그런데 이러한 감독기관의 평가와 달리 금융소비자들이 느끼는 금융회사의 금융소비자 보호수준은 그리 우호적이지 않다. 이러한 점에 착안하여 이 논문은 현재 금융감독기관이 제공하는 금융소비자 보호실태에 관한 정보가 금융소비자에게 좋은 영업관행을 가진 금융회사인지 준별할 수 있게 하고 금융회사로 하여금 금융소비자 보호를 위하여 좋은 회사가 되도록 경쟁하게 하는 기능을 효과적으로 하게 하는지 검토하는 것을 목적으로 한다. 금융소비자에게는 알 권리와 선택할 권리가 있다. 어떠한 상품 내지 서비스가 자신에게 맞는 것인지 아닌지를 판단할 수 있는 정보가 사전에 충분하지 않을 경우 선택할 권리도 제대로 행사할 수 없다. 이러한 문제인식하에 금융감독원이 평가한 금융소비자보호실태 조사결과를 기초로 9개 금융투자회사를 중심으로 금융소비자 지향성관점에서 금융소비자보호실태를 검토한 후 문제점과 개선사항을 제안한다. 다만 일반 금융소비자가 접근가능한 공시매체를 기준으로 소비자정보의 유용성 및 효과성을 검증한 점에서 연구에 한계가 있다. The Financial Supervisory Service (FSS) announced last year ‘2016 Results of Survey about financial consumer protection in financial companies’. In general, the Financial Supervisory Service evaluated the level of the evaluated company as good. However, unlike the evaluation by FSS, the level of financial consumer protection felt by financial consumers is not very favorable. It is generally expected that the consumer information about financial consumer protection provided by the financial supervisory authority can be differentiated from financial companies having good sales practices to financial consumers. The purpose of this study in research paper is to examine whether or not the function of survey about consumer protections mechanism provided by financial companies to compete effectively is effective. Financial consumers have a right to know and a right to choose their transaction parter. If you do not have enough information to judge which goods or services are right for you, you can not exercise your right to choose. Based on the findings of the Survey on Financial Consumer Protection conducted by the Financial Supervisory Service (FSS) based on these problems, I examined the actual condition of financial consumer protection from the perspective of financial consumer orientation, focusing on the financial investment industry, focusing on nine financial investment companies. However, there is a limit in that the utility and effectiveness of consumer information are verified based on the public media and webpages of financial companies that general financial consumers can access.
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