Financial Regulation

Natural Language Processing for Financial Regulation ArXiv ID: 2311.08533 “View on arXiv” Authors: Unknown Abstract This article provides an understanding of Natural Language Processing techniques in the framework of financial regulation, more specifically in order to perform semantic matching search between rules and policy when no dataset is available for supervised learning. We outline how to outperform simple pre-trained sentences-transformer models using freely available resources and explain the mathematical concepts behind the key building blocks of Natural Language Processing. ...

From FinTech to TechFin: The Regulatory Challenges of Data-DrivenFinance ArXiv ID: ssrn-2959925 “View on arXiv” Authors: Unknown Abstract Financial technology (‘FinTech’) is transforming finance and challenging its regulation at an unprecedented rate. Two major trends stand out in the current peri Keywords: FinTech, Regulatory Technology (RegTech), Blockchain, Digital Banking, Financial Regulation, Multi-Asset (FinTech Sector) Complexity vs Empirical Score Math Complexity: 1.0/10 Empirical Rigor: 1.0/10 Quadrant: Philosophers Why: The paper is a theoretical, legal, and regulatory analysis discussing trends and policy implications of FinTech/TechFin, with no mathematical models, formulas, or empirical backtesting presented in the provided excerpt. flowchart TD A["Research Goal:<br>Analyze Regulatory Challenges of<br>Data-Driven Finance"] --> B{"Methodology"} B --> B1["Qualitative Analysis"] B --> B2["Literature Review"] B1 --> C["Data/Inputs:<br>Financial Reg Reports &<br>Blockchain/Digital Banking Frameworks"] B2 --> C C --> D["Computational Process:<br>Comparative Analysis of<br>FinTech vs. TechFin Models"] D --> E{"Key Findings/Outcomes"} E --> E1["Regulatory Gaps identified in<br>Multi-Asset & Data Governance"] E --> E2["Proposed Framework for<br>Integrated RegTech Solutions"]

What Courses Should Law Students Take? Harvard’s Largest Employers Weigh In ArXiv ID: ssrn-2397317 “View on arXiv” Authors: Unknown Abstract We report the results of an online survey, conducted on behalf of Harvard Law School, of 124 practicing attorneys at major law firms. The survey had two main ob Keywords: Law firms, Legal practice, Financial regulation, Corporate law, Survey analysis Complexity vs Empirical Score Math Complexity: 0.0/10 Empirical Rigor: 3.0/10 Quadrant: Philosophers Why: The paper is an educational survey of lawyers about law school curriculum, containing no advanced mathematics or quantitative modeling, with empirical rigor limited to a simple online survey without backtesting or complex statistical analysis. flowchart TD A["Research Question: What Courses Should<br>Harvard Law Students Take?"] --> B{"Methodology"} B --> C["Survey of 124 Attorneys<br>at Major Law Firms"] C --> D["Statistical Analysis<br>of Survey Responses"] D --> E{"Key Findings"} E --> F["Priority Courses:<br>Financial Regulation & Corporate Law"] E --> G["Focus on Practical<br>Legal Practice Skills"]

Derivatives in IslamicFinance ArXiv ID: ssrn-1015615 “View on arXiv” Authors: Unknown Abstract Despite their importance for financial sector development, derivatives are few and far between in countries where the compatibility of capital market transactio Keywords: Derivatives, Emerging Markets, Capital Market Transparency, Financial Regulation, Derivatives Complexity vs Empirical Score Math Complexity: 4.0/10 Empirical Rigor: 3.0/10 Quadrant: Philosophers Why: The paper presents conceptual valuation models and legal analysis on Shari’ah-compliant derivatives but lacks empirical backtesting, statistical metrics, or implementation-heavy data analysis. flowchart TD A["Research Goal: Assess derivative market development in emerging Islamic finance (EMIF)"] --> B["Methodology: Qualitative Case Study Analysis"] B --> C["Data/Inputs: Regulatory reports, global financial benchmarks, EMIF policy reviews"] C --> D["Computational Process: Comparative analysis of legal frameworks vs. international standards"] D --> E["Key Finding: Low derivative adoption due to regulatory ambiguity & religious compliance"] E --> F["Outcome: Proposal for standardized Shariah-compliant derivative contracts (e.g., IW'adah)"]

Defining Financial Stability ArXiv ID: ssrn-879012 “View on arXiv” Authors: Unknown Abstract The main objective of this paper is to propose a definition of financial stability that has some practical and operational relevance. Financial stability is def Keywords: Financial stability, Systemic risk, Macroprudential policy, Financial regulation, Risk management, Macro Complexity vs Empirical Score Math Complexity: 2.0/10 Empirical Rigor: 1.0/10 Quadrant: Philosophers Why: The paper is a conceptual and theoretical work proposing a definition of financial stability, with no mathematical models, derivations, or empirical data analysis presented in the excerpt. flowchart TD A["Research Goal<br>Define Financial Stability<br>with Practical Relevance"] --> B["Methodology<br>Conceptual Analysis &<br>Systemic Risk Framework"] B --> C["Inputs<br>Macroprudential Policy<br>& Financial Regulation Data"] C --> D["Computational Process<br>Agent-Based Modeling &<br>Risk Transmission Analysis"] D --> E["Key Outcomes<br>Operational Definition<br>Macroprudential Tools<br>Risk Management Metrics"]