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Faculty of Law Chair for Law & Finance

Publications

Google Scholar citations

Books

  • K. Alexander, Principles of Banking Regulation, Cambridge University Press, Cambridge 2019 Link
  • K. Alexander, C. Barnard, E. Ferran, A. Lang & N. Moloney, Brexit and Financial Services: Law and Policy, Hart Publishing, Oxford 2018 Link to Review (PDF, 2 MB)
  • K. Alexander, B. Rider, S. Bazley & J. Bryant (2016), Market Abuse and Insider Dealing (3rd edition, London: Bloomsbury). Link
  • K.  Alexander (2009), Economic Sanctions: Law and Public Policy (London: Macmillan Palgrave). Link
  • K. Alexander, R. Dhumale & J. Eatwell (2006), Global Governance of Financial Systems: The International Regulation of Systemic Risk (Oxford: Oxford University Press). Link

Edited Books

  • K. Alexander & S. Gruenewald (expected 2023) Central Banking and Sustainability (Cambridge University Press, Cambridge UK) (contract signed with CUP)
  • K. Alexander, M. Gargantini, & M. Siri (expected 2023), Sustainable Finance: Law, Regulation and Governance (Cambridge University Press, Cambridge UK) (contract signed with CUP)
  • K. Alexander & R. Dhumale (2012) Research Handbook on International Financial Regulation (Cheltenham: Edward Elgar Publishing) (20 chapters, 446 pages). Link
  • K. Alexander & N. Moloney (2011) Law Reform and Financial Markets (Cheltenham: Edward Elgar Publishing). Link
  • K. Alexander & M. Andenas (2008) The World Trade Organisation and Trade in Services (Leiden: Brill/Martinus/Nijhof) (22 chapters, 968 pages). Link
  • K. Alexander (2004-present) US Anti-Money Laundering Law and the Financial Sector, Butterworths Looseleaf Guide on Money Laundering Law and Practice. 

Academic Articles (peer-reviewed)

  • K. Alexander (2022) 'Reconciling Lopsided Mandates, Secondary Objectives and the Importance of Sustainability: The Role of the European Central Bank in the Single Supervisory Mechanism',  European Business Law Review, vol 33, no 1. Link (PDF, 830 KB)
  • K. Alexander (2021), 'Financial Inclusion and Banking Regulation: the Role of Proportionality', Journal of Law and Contemporary Problems, Duke University School of Law, 84(1) Link
  • K. Alexander (2017), 'Regulating Bank Governance and the EU Capital Requirements Directive', European Business Law Review, 28(6), 809-828 Link (PDF, 223 KB)
  • K. Alexander (2016), 'The European Central Bank and Banking Supervision: The Regulatory Limits of the Single Supervisory Mechanism', European Company and Financial Law Review, 13(3), 467-494 Link (PDF, 153 KB)
  • K. Alexander & Vladimir Maly (2015), 'The new EU Market Abuse Regime and Derivatives Markets', Law and Financial Markets Review, 9(4), 243-250 Link
  • K. Alexander (2015), 'Regulating the Structure of the EU Banking Sector', European Business Organisation Law Review Link (PDF, 1 MB)
  • K. Alexander (2015), 'Tort Liability for Ratings of Structured Securities under English Law', ICCLJ 11(2), 26-40 Link (PDF, 1 MB)
  • K. Alexander (2015), 'European Banking Union: A Legal and Institutional Analysis of the Single Supervisory Mechanism and the Single Resolution Mechanism', European Law Review 40(2), 154-187 Link (PDF, 453 KB)
  • K. Alexander (2014), 'The ECB and Banking Supervision: Building Effective Prudential Supervision?', Yearbook of European Law, 33(1), 417-432 Link
  • K. Alexander (2014), 'The Risk of Ratings in Bank Capital Regulation', European Business Law Review 25(2), 295-313 Link (PDF, 653 KB)
  • K. Alexander (2013), 'The Law of Insider Dealing - A Tale of Two Jurisdictions', ZVglRWiss, 262-292 Link (PDF, 36 MB)
  • K. Alexander (2013), 'Bank Resolution and Recovery in the EU: Enhancing Banking Union?', Journal of the European Law Academy (ERA Forum), 1-13 Link (PDF, 419 KB)
  • K. Alexander (2012), 'Bank Capital Management and Macro-Prudential Regulation', Journal of Banking Law and Banking (JBB), 331-341 Link (PDF, 24 MB)
  • K. Alexander & A. Schmidt (2012), 'The Market in Financial Instruments Directive and Switzerland', Schweizerische Zeitschrift für Gesellschafts- und Kapitalmarktrecht sowie Umstrukturierungen (GesKR), 45-54 Link (PDF, 23 MB)
  • K. Alexander (2011), 'Rebuilding International Financial Regulation and Basel III', Journal of Banking Law and Banking (JBB), 337-344 Link
  • K. Alexander (2011), 'Reforming European Financial Supervision', Journal of the European Law Academy (ERA-Forum), 229-252 as well as EuZ 2011, 50-62 Link (PDF, 728 KB)
  • E. Ferran & K. Alexander (2011), 'Can Soft Law Bodies be Effective? The Special Case of the European Systemic Risk Board', The European Law Review, 751-777 Link (PDF, 371 KB)
  • K. Alexander (2011), 'Solutions to Regulatory Differences between the US Dodd Frank Act and the European Commission’s Proposal, in Particular in Ensuring Equal Conditions for Market Access for EU and Third Country Central Counterparties (CCPS)' (Note) Link (PDF, 160 KB)
  • K. Alexander (2010), 'International Regulatory Reform and Financial Taxes', Journal of International Economic Law, 13(3), 893-912 Link (PDF, 160 KB)
  • K. Alexander & K. Lorez (2010), 'Universal Banks: The Risk and Alternatives', Schweizerische Zeitschrift für Wirtschafts- und Finanzmarktrecht (SZW), 459-468
  • K. Alexander (2009), 'Global Financial Standard Setting, the G10 Committees and International Economic Law', Brooklyn Journal of International Law, 861 Link (PDF, 317 KB)
  • K. Alexander (2009), 'The Efficacy of Extra-territorial Jurisdiction and US and EU Income Tax Policy: The Case of the Savings Tax Directive', Schweizerische Zeitschrift für Wirtschafts- und Finanzmarktrecht (SZW), 463-479 Link (PDF, 31 MB)
  • K. Alexander (2009), 'Bank Resolution Regimes: Balancing Prudential Regulation and Shareholder', Journal of Corporate Law Studies 9(1), 197-227 Link (PDF, 240 KB)
  • K. Alexander (2009), 'Principles v. Rules in Financial Regulation: Re-assessing the Balance in the Credit Crisis Symposium at Cambridge University, 10-11 April 2008', European Business Organization Law Review 10(2), 169-173 Link (PDF, 126 KB)
  • K. Alexander (2008), 'International Monetary Fund’s Role in Sovereign Liquidity Crises, Current Issues in Monetary and Financial Law' (Washington DC: International Monetary Fund Law Department), 131-190 Link
  • K. Alexander, 'The GATS and Financial Services: the Role of Regulatory Transparency', Cambridge Review of International Affairs 20(1), 111-133 Link (PDF, 146 KB)
  • K. Alexander, E. Ferran, H. Jackson & N. Moloney (2006), 'Transatlantic financial services regulatory dialogue', European Business Organization Law Review 7(3), 647-673 Link
  • K. Alexander (2006), 'Corporate Governance and Banks: The role of regulation in addressing the principal-agent problem', Journal of Banking Regulation, 17-40 Link
  • K. Alexander (2004), 'Why banks hold capital in excess of regulatory requirements: the role of market discipline', Journal of International Banking Regulation, 6-9 Link
  • K. Alexander (2003), 'UK Corporate Governance and Banking Regulation: The Regulator’s Role As Stakeholder' (American Society of Comparative Law and Stetson University College of Law), in: Proceedings of the American Society of Comparative Law in its Symposium on Comparative Corporate Governance 2004, 991-1034
  • K. Alexander (2003), 'International Developments in Terrorist Finance, The Funding of Terror: The Legal Implications of the Financial War on Terror', in R. Cranston (ed.), Symposium Issue of the Journal of Money Laundering Control 6 (3) 201, 212-213 (cited by the International Monetary Fund in its official report entitled 'Suppressing the Financing of Terrorism' (2003) IMF Legal Department p. 22, fn. 60) Linkhttp://www.imf.org/external/pubs/nft/2003/SFTH/index.htm
  • K. Alexander (2002-2003), 'The Development of a Uniform Choice of Law Rule for the Taking of Collateral Interests in Securities' Part(s) 1 & 2, Butterworths Journal of International Banking and Financial Law 17(11), 436-442 und 18(2), 56-64
  • K. Alexander (2002), 'United States Financial Sanctions and International Terrorism' Part(s) 1 & 2, Butterworths Journal of International Banking and Financial Law 17(5), 80-88 und 213-222 (cited in Mann's The Legal Aspect of Money Chap 15 6th ed. OUP) Link
  • K. Alexander (2002), 'Extraterritorial United States Banking Regulation and International Terrorism: The Patriot Act and the International Response', Journal of International Banking Regulation, 307-326 Link (PDF, 35 MB)
  • K. Alexander (1999), Civil Liability on the Periphery: Third Country Transactions in Violation of United States Economic Sanctions, 10(7&8) European Business Law Review, 314-332 Link (PDF, 1 MB)
  • K. Alexander (1998), Trafficking in Confiscated Cuban Property: Kender Liability under the Helms-Burton Act and Customary International Law, 16(3) Dickinson Journal of International Law, 523-561 Link
  • K. Alexander & J. Mills (1995), 'Resolving Property Claims in a Post-Socialist Cuba', 27 Law & Policy in International Business, 137-191 Link (PDF, 3 MB)

Book Chapters

  • K. Alexander (2022), ‘Global Financial Governance and Banking Regulation: Redesigning Regulation to Promote Stakeholder Interests’ in  J Pauwellyn, M. Maggeti, T. Buthe, and A. Berman (eds.), Rethinking Participation in Global Governance: Challenges and Reforms in Financial and Health Institutions (Oxford: Oxford University Press), Chapter 5 Link (PDF, 8 MB) Oxford University Press
  • K. Alexander and X. Karametaxas (2021) 'Digital transformation and financial inclusion', 273-290, in I. Chiu and G. Deipenbrock (eds.), Routledge Handbook of Financial Technology and Law (Oxfordshire: Routledge) Link
  • K. Alexander (2021) 'Central Banking and Climate Change', 49-74, in P. Fisher (ed.), Making the Financial System Sustainable (Cambridge: Cambridge University Press) Link
  • K. Alexander (2020) ‘Financial Market Integration and EMU (PDF, 1 MB)’, 1049-1069, in F. Amtenbrink and C. Hermann (eds.), EU Law of Economic & Monetary Union (Oxford: Oxford University Press) Link 

  • K. Alexander (2020) 'Regulating Agency Relationships and Risk Culture in Financial Institutions', 165-189, in M. Tuveson, D. Ralph & K. Alexander (eds.), Beyond Bad Apples (Cambridge: Cambridge University Press) Link

  • K. Alexander and V. Madders (2020) ‘Financial Market Regulation in the Internal Market (PDF, 1 MB)’, 1070-1102, in F. Amtenbrink and C. Hermann (eds.), EU Law of Economic & Monetary Union (Oxford: Oxford University Press) Link 

  • K. Alexander (2020) ‘European Banking Union: Five Years On', (plenary chapter), in D. Busch and G Ferrarini (eds.), European Banking Union (2nd ed.) (Oxford University Press)  75-138 Link

  • K. Alexander (2019), 'The ECB's macroprudential tasks and home-host supervision in the SSM: tasks, powers and supervisory gaps', in G. Lo Schiavo (ed.), The European Banking Union and the Role of Law (Elgar Financial Law) 154-175 Link
  • K. Alexander and P. Fisher (2019), 'Banking Regulation and Sustainability', in F.-J. B. van den Boezem, C. Jansen & B. Schuijling (eds.), Sustainability and Financial Markets (Wolters Kluwer) 7-34 Download (PDF, 6 MB)
  • K. Alexander  & P. Fisher (2019) 'What Happens When Nobody is Watching', 27-42, in O. Taaffe (ed.), Banking on Change: The development and future of financial services (London: Wiley and The London Institute of Banking & Finance) Link
  • K. Alexander (2019), 'Global Financial Governance and Banking Regulation: Redesigning regulation to promote stakeholder interests', in A. Berman, T. Büthe, M. Maggetti & J. Pauwelyn (eds.), Rethinking Stakeholder Participation in Global Governance: Challenges and Reforms in Financial and Health Institutions (Oxford University Press) Link (PDF, 171 KB)
  • K. Alexander (2019), 'The ECB's macroprudential tasks and home-host supervision in the SSM: tasks, owers and supervisory gaps', in G. Lo Schiavo (ed.), The European Banking Union and the Role of Law (Elgar Financial Law) 154-175 Link (PDF, 222 KB)
  • K Alexander and Rosa Lastra (2018) 'Banking Regulation and Supervision: A UK Perspective'  in Peter Conti-Brown and RM Lastra, eds., Research Handbook on Central Banking (Cheltenham UK: Edward Elgar) 380-397. Link
  • K. Alexander (2017), 'The European Central Bank's supervisory powers: the need for enhanced macro-prudential supervision', in European Central Bank (ed.), ECB Legal Conference 2017, Shaping a new legal order for Europe: a tale of crises and opportunities (European Central Bank) 349-368 Link (PDF, 244 KB)
  • K. Alexander (2017), 'Liability for Mis-selling and a Bank's Duty of Care - England and Wales', in D. Busch & C. van Dam (eds.), A Bank's Duty of Care (Hart) 249-284. Link
  • K. Alexander (2016), 'Selected Aspects of International Regulation and Policy: Reforming International Financial Regulation Along Macro-Prudential Lines', in M. Andenas & G. Deipenbrock (eds.), Regulating and Supervising European Financial Markets: More Risks than Achievements (Springer) 215-229. Link
  • K. Alexander & S. L. Schwarcz (2016), 'The Macroprudential Quandary: Unsystematic Efforts to Reform Financial Regulation', in R. P. Buckley, E. Avgouleas & D. W. Arner (eds.), Reconceptualising Global Finance and its Regulation (Cambridge University Press) 127-158 Link
  • K. Alexander (2015), 'The Role of Capital in Banking Stability' in N. Moloney, E. Ferran and J. Payne (eds.), Oxford Handbook on Financial Regulation (Oxford University Press) 334-363. Link
  • K. Alexander (2015), 'Regulating Sovereign Bond Contract in Europe', in S grundmann, F. Möslein & K. Riesenhuber (eds.), Contract Governance. Dimensions in Law & Interdisciplinary Research (Oxford University Press) 451-460. Link
  • K. Alexander (2015), 'The EU Single Rulebook: Capital Requirements for Banks and the Maximum Harmonisation Principle', in L. M. Hinojosa-Martinez & J. M. Beneyto (eds.) European Banking Union, (Wolters Kluwer), 21-32. Link
  • J. Eatwell/J.-B. Gossé/K. Alexander (2014) 'Financial Markets and International Regulation', in: J. Eatwell et al. (eds.), Challenges for Europe in the World (Ashgate), 105-137. Link
  • K. Alexander (2014) 'International economic law and macro-prudential regulation', in: T. Cottier et al. (eds.), The Rule of Law in Monetary Affairs (Cambridge University Press), 519-544. Link
  • K. Alexander (2014) 'Marktstrukturen, Innovation und Europäische Wertpapierregulierung', in: F. Möslein (ed.), Finanzinnovation und Rechtsordnung (Schulthess), 291-303. Link
  • K. Alexander (2013) 'UK insider dealing and market abuse law: strengthening regulatory law to combat market misconduct', in: S. M. Bainbridge (ed.), Research Handbook on Insider Trading (Edward Elgar Publishing, Cheltenham), 407-428. Link (PDF, 8 MB)
  • K. Alexander (2013) 'Bank capital regulation and the role of external ratings: Unresolved issues', in: J. Kleineman/L. Gorton/A. Verständig (eds.), Perspectives on Credit Rating Agencies (Stockholm: Författarna, Stockholm Centre for Commercial Law och Jure Förlag AB), 231-250. Link
  • K. Alexander (2012) 'Market Structures and Market Abuse', in G. Caprio (ed.), Handbook of Safeguarding Global Financial Stability: Political, Social, Cultural and Economic Theories and Models (Elsevier Publishers) 381-391. Link (PDF, 1 MB)
  • K. Alexander (2012) 'Market Structures, Technology and European Securities Regulation', in B. Strebel-Aerni (ed.), Finanzmärkte im Banne von Big Data (Schulthess) 33-44. Link
  • K. Alexander (2012) 'The European regulation of central counterparties: some international challenges', in K. Alexander & R. Dhumale (eds.) Research Handbook on International Financial Regulation (Cheltenham: Edward Elgar Publishing) (20 chapters, 446 pages) 241-255. Link 
  • K. Alexander (2012) 'Summing up and the challenges ahead', in K. Alexander & R. Dhumale (eds.) Research Handbook on International Financial Regulation (Cheltenham: Edward Elgar Publishing) (20 chapters, 446 pages) 435-446. Link
  • K. Alexander, J. Eatwell & A. Persaud (2012) 'The nature of modern credit markets, banking and financial innovation', in K. Alexander & R. Dhumale (eds.) Research Handbook on International Financial Regulation (Cheltenham: Edward Elgar Publishing) (20 chapters, 446 pages) 11-29. Link
  • K. Alexander & J. Eatwell (2012) 'International regulatory reform and financial taxes', in K. Alexander & R. Dhumale (eds.) Research Handbook on International Financial Regulation (Cheltenham: Edward Elgar Publishing) (20 -chapters, 446 pages) 397-413. Link
  • R. H. Schmidt, K. Alexander, H. Benink, R. Lastra & C Wihlborg (2011) 'The Recent Financial Crisis: Lessons from Europe', in R. Litan (ed.), WORLD IN CRISIS: Insights from Six ShadowFinancial RegulatoryCommitteesFrom Around the World, (FIC Press) 155-221. Link (PDF, 7 MB)
  • K. Alexander (2011) 'Sovereign Debt Restructuring in the EU: Lessons from the Recent Crisis', in P. Delimatsis & N. Herger (eds), Financial Regulation at the Crossroads: Implications for Supervision, Institutional Design and Trade (Wolters Kluwer) 155-175 Link
  • K. Alexander (2009) ‘International Economic Law and the Basel Committee on Banking Supervision: Alternative Forms of International law-making’, Chapter 14, in K. Wellons & T. Komori, Public Interest Rules of International Law: Towards effective implementation, 186-231. Link
  • K. Alexander (2009) ‘Bank for International Settlements’, in C Tietje and A Brouder (eds), Handbook of Transnational Exonomic Governance Regimes (Brill), 305-318 Link
  • K. Alexander (Nov 2008) ‘The Fund's Role in Sovereign Liquidity Crises', in Current Developments in Monetary and Financial Law  5 Chapter 6 (Washington DC: IMF). Link
  • K. Alexander (2008) ‘The GATS and International Financial Regulation’ in K. Alexander & M. Andenas, The World Trade Organisation and Trade in Services (Leiden: Brill/Martinus Nijhof). Link
  • K. Alexander (2007) ‘International Economic Law and the Lender of Last Resort’, in B. Markesinis & S. Diaz Alabart & M. Grimaldi & H. Micklitz (eds.), Principles and New Developments of Private Law. Liber Amicorum for Guido Alpa (London: British Institute of International and Comparative Law), 37-84. Link
  • K. Alexander (2007) 'Multiple regulators and insolvency regimes: obstacles to efficient supervision and resolution', in: D. G. Mayes/G. W. Wood (eds.), The Structure of Financial Regulation (Abingdon, Oxon: Routledge), 155-171 (discussing the challenges for US bank regulators in supervising bank holding companies and deposit insurance schemes). Link
  • K. Alexander (2003) ‘Private Law approaches to Enhancing Financial Stability: The Hague Convention on Indirectly Held Securities and European Union Collateral Directive’ in M. Andenas & Y. Avgerinos, Financial Markets in Europe: Towards a Single Regulator’ (London: Kluwer Law International). Link
  • K. Alexander (2003) ‘United States Anti-Money Laundering Law: Corporate Compliance and Liability Issues’ in T. Graham, ed., Butterworths International Guide to Money Laundering Law and Practice (2nd edition) (London: Butterworths), 628-664. Link
  • K. Alexander (2001) ‘The Need for Efficient International Financial Regulation and the Role of a Global Supervisor’ in E. Ferran & C. A. E. Goodhart (eds.) The Challenge of Financial Regulation in the Twenty-First Century (Oxford: Hart Publications) Chapter 17, 273-297. Link

Major Commissioned Parlamentary and Government Reports

High Profile Papers, Evidence and Policy Advice to Governments and International Organisations

  • HM Treasury (UK) Economic and Monetary Policy
    Submission of Evidence. 'Call for evidence for the balance of competences report on economic and monetary policy' (2014)
  • House of Commons Treasury Committee
    Invited written and oral evidence on EU Commission’s proposed Regulations creating a European Systemic Risk Board and European Financial Supervisory Authorities, November 2009. See The Committee’s Opinion on proposals for European financial supervision, Sixteenth Report of Session 2008-09. See Alexander’s written evidence in Report, S. 29-34, 46-50  https://publications.parliament.uk/pa/cm200809/cmselect/cmtreasy/1088/1088we04.htm
  • House of Commons Treasury Select Committee
    Invited oral and written evidence: Banking Crisis and Banking Regulation, oral and written evidence cited throughout the report, June 2009 https://publications.parliament.uk/pa/cm200809/cmselect/cmtreasy/767/767.pdf
  • House of Lords Select Committee on Economic Affairs
    Invited written evidence: UK Banking Regulation and Supervision, February 2009
    https://publications.parliament.uk/pa/ld200809/ldselect/ldeconaf/101/101we02.htm
  • UK Foreign and Commonwealth Office
    Special Adviser on economic sanctions. Invited oral and written advice to UK FCO and Sir John Sawers, then-UK Ambassador to the United Nations (9 July 2007). European Commission special consultant (2007-2009) on Technical Assistant project for Basel II implementation in China, bank corporate governance, and related capital market regulation.
  • House of Lords Select Committee on Economic Affairs
    Invited written and oral evidence (June/July 2006) on 'The Impact of Economic Sanctions' at a special meeting of the full Committee on 4 July 2006. See Alexander’s written evidence and paper (June 2006) for the Committee at
    http://www.publications.parliament.uk/pa/ld200607/ldselect/ldeconaf/96/6070402.htm
    and oral evidence before the full Committee (4 July 2006) at
    https://publications.parliament.uk/pa/ld200607/ldselect/ldeconaf/96/6070403.htm
    Oral and written evidence cited favourably in Select Committee Final Report 'The Impact of Economic Sanctions' (9 May 2007). For specific text citations, see pages 12, 18 and 19 and at footnotes 4-8, 14. See https://publications.parliament.uk/pa/ld200607/ldselect/ldeconaf/96/9602.htm
  • European Parliament
    Committee of Inquiry into the crisis of the Equitable Life Assurance Society
    Invited oral evidence and a written report on 29/30 November 2006. Alexander’s analysis of the inadequacy of UK financial regulation in the 1980s and 1990s is adopted by the Committee in its Final Report on the crisis at page 161 and the benefits of EU legislation for the UK financial sector at page 134. His assessment of the gaps in EU investor and policyholder protection law is cited favourably (pp. 285-86), and his proposal that the EU adopt a version of US-style class action lawsuits to be used by EU investors and policyholders is cited as the basis for further EU legislative reform in this area (pp. 302-303). See Final Report and cited references at:
    http://www.europarl.europa.eu/sides/getDoc.do?pubRef=-//EP//NONSGML+REPORT+A6-2007-0203+0+DOC+PDF+V0//EN
  • The International Monetary Fund
    Financial Stability and Law Department

    Invited paper and lecture/seminar presentations (23-24 October 2006) to the International Monetary Fund’s Biennial Law Financial Stability Conference. Two papers, one plenary lecture (23 October 2006) and one seminar presentation (24 October 2006) entitled respectively: ‘International Economic Law and Financial Stability: The Role of the Lender of Last Resort’, and The UK Legal Framework of Financial Stability and the Bank of England. See
    http://www.imf.org/external/np/seminars/eng/2006/mfl/index.htm
  • International Monetary Fund
    Invited Paper, 'The Basel Committee and Global Governance', presented at the Annual Meeting of the International Monetary Fund and G24 (11 April 2003).
    The Basel Committee and Global Governance

Festschriften

  • K. Alexander (2017) 'Regulating Bank Governance and the EU Capital Requirements Directive', European Business Law Review, 28(6), 809-828. Link (PDF, 223 KB) 
  • K. Alexander (2017) 'Banking regulation and financial  stability', in: Weber, Rolf H.; Stoffel, Walter A.; Chenaux, Jean-Luc; Sethe, Rolf; Aktuelle Herausforderungen des Gesellschafts- und Finanzmarktrechts: Festschrift für Hans Caspar von der Crone zum 60. Geburtstag. Zürich: Schulthess Verlag, 359-378. Link (PDF, 276 KB)
  • K. Alexander (2015) 'European Central Bank's single supervisory mechanism: administrative procedure and enforcement, in: Breitschmidt, Peter; et al. Tatsachen, Verfahren, Vollstreckung: Festschrift für Isaak Meier zum 65. Geburtstag. Zürich: Schulthess Verlag, 1-21. Link (PDF, 281 KB)
  • K. Alexander (2011) 'Sovereign debt restructuring in the EU: lessons from the recent crisis', in: Sethe, Rolf; et al. Kommunikation: Festschrift für Rolf H. Weber zum 60. Geburtstag. Bern: Stämpfli, 803-820. Link (PDF, 298 KB)

Commentaries and Essays

  • K. Alexander (2022), Commentary on EU Banking Union, J-H Binder and M. Knoptik, (Nomos), Articles 5 and 17 of the Single Supervisory Mechanism Regulation by Kern Alexander, pp. 77-84 and pp. 242-254
  • K. Alexander 'Has the European Central Bank been a success?', 21 January 2020, Core, University of Warwick, Warwick Business School. Link
  • K. Alexander, 'Can Banking Regulation Address Climate Change?', Milken Institute Review, 18 June 2019 Link
  • K. Alexander 'Bail-in: a regulatory critique', Butterworths Journal of International Banking and Financial Law, January 2017, pp. 28-29 Link (PDF, 472 KB)
  • K. Alexander, 'Banking regulation and environmental sutainability', Amicus Curiae Journal of the Society for Advanced Legal Studies, Issue 104, Winter 2015, pp. 2-9. Link (PDF, 499 KB)
  • K. Alexander (2015), 'Are environmental risks missing in Basel III?', Butterworths Journal of International Banking and Financial Law, 30(2), 67-68 Link
  • K. Alexander: Proposal for European Banking Union must be redesigned to provide a more accountable and effective institutional framework , The London School of Economics and Political Science, 2012 Link
  • K. Alexander: 'Enhancing European Bank Resolution and Recovery', 19 Maastricht Journal of European and Comparative Law 3, 2012, pp. 459-465 Link (PDF, 3 MB)
  • K. Alexander: Reforming European financial supervision and the role of EU institutions , Amicus Curiae 2010, S. 2-11 Link
  • K. Alexander: Evidence obtained by torture , Amicus Curiae 2005, S 1-2 Link
  • K. Alexander: Why auditors and public companies need international regulation, Amicus Curiae 2002, S. 1 Link
  • K. Alexander: US elections may pose challenge to Bush agenda, Amicus Curiae 2002, S. 31-32 Link

Book reviews

  • K. Alexander, Review of Simon Ling-Locke, 'Principles of Banking Regulation by Kern Alexander', The London Institute of Banking&Finance, Financial World, December 2019/January 2020, 58. Link (PDF, 13 MB)
  • K. Alexander, Review of Raghuram G. Rajan, ‘Fault Lines: How Hidden Fractures Still Threaten the World Economy’ (Princeton: Princeton University Press, 2010), Central Banking (2010) (Central banking Publications: London). Link
  • K. Alexander, 'A review of Stock Market Efficiency, Insider Dealing and Market Abuse by Paul Barnes', Gower 2009, King's Law Journal 2009, 20(3), 547-552. Link (PDF, 264 KB)
  • K. Alexander, Review of Rosa M. Lastra, 'The Legal Foundations of International Monetary Stabilily', Oxford University Press, 2006, European Business Organization Law Review, 2007, 8(3), 461-463. Link
  • K. Alexander, Review of 'The World Trade Organization: A Very Short Introduction' By Amrita Narlikar, OUP Oxford 2005 168 pp.Link
  • K. Alexander, Review of Mario Giovanoli (eds), International Monetary Law: Issues for the New Millenium, Oxford University Press, 2000, Cambridge Law Journal 2002, 61(3), 732-736. Link

Working papers

  • K. Alexander & D. Peric, 'Legal and Comparative Aspects of the Swiss Sanctions against Russia' (2022) Link (PDF, 122 KB)
  • K. Alexander & Rosa M. Lastra, 'International Banking Regulation and Climate Change' (December 1, 2022). Available at SSRN:Link
  • K. Alexander & P. Fisher (January 2019), 'Banking regulation and sustainability' Link
  • K. Alexander & P. Fisher (2019), 'Central Banking and Climate Change' Link (PDF, 273 KB)
  • K. Alexander (2019), 'Regulating Risk Culture in Banks' Link
  • K. Alexander (2014), 'Tort Liability for Ratings of Structured Securities under English Law', University of Oslo Faculty of Law Legal Studies Research Paper Series No. 2015-06. Link
  • K. Alexander, K. Lorez, M. Zobl & D. Thürer (2014), 'The legitimacy of the G20 – a critique under international law'. Link
    K. Alexander, E. Ferran, H. Jackson & N. Moloney (2007), 'A Report on the Transatlantic Financial Services Regulatory Dialogue', Harvard Law School John M. Olin Center for Law, Economics and Business Discussion Papers No. 576. Link (PDF, 207 KB)
  • K. Alexander (2004), 'Corporate governance and banking regulation: the regulator as stakeholder', Cambridge Endowment for Research in Finance, Cambridge University Paper No. 17.
  • K Alexander (2003), 'The Basel Committee and Global Governance', The G24 Intergovernmental Group of 24 (April 13, 2003). Link
  • K. Alexander (2002), 'Lessons from the rise of the US limited liability partnership: regulating risk-taking in the large professional firm', ESRC Centre for Business Research, Cambridge University, Working Paper No. 255.
  • K. Alexander (2002), 'Establishing a new European securities regulator: is the European Union an optimal economic area for securities regulation?', Cambridge Endowment for Research in Finance, Cambridge University, Working Paper No. 7.
  • K. Alexander (2001), 'Insider dealing and market abuse: the Financial Services and Markets Act 2000', ESRC Centre for Business Research, Cambridge University, Working Paper No. 222.
  • K. Alexander (2001), 'A uniform choice of law rule for the taking of collateral interests in securities: using private law approaches to reduce credit and legal risk in financial systems', ESRC Centre for Business Research, Cambridge University, Working Paper No. 211.
  • K. Alexander & R. Dhumale (2001), 'Enhancing corporate governance for financial institutions: the role of international standards', ESRC Centre for Business Research, Cambridge University, Working Paper No. 196.

Specialist Publications

  • K. Alexander, 'Market Structures, Technology and European Securities Regulation' in Brigitte Strebel-Aerni (ed), Finanzmärkte im Banne von Big Data (Schulthess 2012), 33-44
  • K. Alexander (2011) ‘The United States’ in T. Graham, ed., Butterworths Money Laundering Law (London: Butterworths), 7951-8070

Editorial / Article Submissions Referee

  • Article Submissions Referee: Journal of Financial Regulation (Oxford: OUP), 2015 - present
  • Article Submissions Referee: Journal of Banking and Finance, 2012 - present
  • Article Submissions Referee: Cambridge Journal of Economics, 2003 - 2015
  • Journal Editorial Boards: The Company Lawyer (London: Sweet & Maxwell)
  • Editor of Butterworths Guide on Money Laundering Law and Regulation (London: Butterworths)

Major Conferences (Keynote Speeches)

2019 Annual Conference on Inclusive and Sustainable Finance, University of Luxembourg, Faculty of Law and Economics (14 November 2019). Sustainable Finance and Banking Regulation: An EU Legal Standard Link

2017 Annual Conference of the European Systemic Risk Board (Sept 2017), 'Legal Perspectives on Macroprudential regulation', (European Central Bank), keynote panel Link

2017 European Central Bank Annual Legal Conference (4-5 Sept 2017), 'Shaping a new legal order for Europe: a tale of crises and opportunities', panel presentation Link

2017, University of Sheffield, Law and Money, 3rd Annual Conference, Law, Finance, and Sustainability, Keynote Lecture, 'Green Banking: Redefining Regulation or Redefining Business’, (Sept 11, 2017) See programme (PDF, 354 KB)

Weiterführende Informationen

Principles of Banking Regulation

Principles of Banking Regulation

More about Principles of Banking Regulation

By K. Alexander, published in early 2019.

 

"An accessible, comprehensive analysis of the main principles and rules of banking regulation in the post-crisis regulatory reform era, this textbook looks at banking regulation from an inter-disciplinary perspective across law, economics, finance, managment and policy studies. It provides detailed coverage of the most recent international, European and UK Bank regulatory and policy developments, including Basel IV and Brexit, and considers the impact on bank governance, compliance, risk managment and strategy." - Cambridge University Press

Brexit and Financial Services

Brexit and Financial Services

By K. Alexander, C. Barnard, E. Ferran, A. Lang & N. Moloney

 

This book examines the legal and regulatory implications of Brexit for financial services. The UK’s withdrawal from the EU is likely to have significant market, political and policy consequences for the UK financial system, for the single market and the euro area, and for the international financial system. As the UK disentangles its financial system from the EU, law will matter to a profound extent. Treaties, legislation and regulation at UK, EU and international levels, and the many dynamics and interests which drive them, will frame and shape the ultimate settlement between the UK and the EU. Law will also shape how the EU financial system develops post-Brexit and how the international financial system responds.

Cover - Global Governance of Financial Systems

Global Governance of Financial Systems

By K. Alexander, R. Dhumale & J. Eatwell.

The book sets forth the economic rationale for international financial regulation and what role, if any, international regulation can play in effectively managing systemic risk while providing accountability to all affected nations. The book suggests that a particular type of global governance structure is necessary to have more efficient regulation of the international financial systems.

Cover - Economic Sanctions

Economic Sanctions

By K. Alexander

Economic sanctions are increasingly being used to combat rogue states, international terrorists and economic criminals. This book offers a new assessment of economic sanctions as a public policy tool and identifies the key legal and regulatory issues in the design of economic sanctions policy in the post 9-11 environment.

Kern Alexander places the use of economic sanctions in a broad international context to highlight the gaps in existing international sanctions programmes and the need to develop more effective and efficient multilateral institutions in this area. Moreover, this book identifies weaknesses of US unilateral and extraterritorial sanctions and the legal framework which supports their application. This perspective is especially important given the growing concern with states such as Iran and North Korea and the ongoing interest in how to combat weapons of mass destruction, transnational economic crime and terrorist financing. Kern suggests that although multilateral institutions have a role to play in monitoring the implementation of sanctions, the impetus for effective economic sanctions policy must come from national policymakers and regulators.

Research Handbook - Cover

Research Handbook on International Financial Regulation

Edited by K. Alexander & R. Dhumale

The globalisation of financial markets has attracted much academic and policymaking commentary in recent years, especially with the growing number of banking and financial crises and the current credit crisis that has threatened the stability of the global financial system. This major new Research Handbook sets out to address some of the fundamental issues in financial regulation from a comparative and international perspective and to identify some of the main research themes and approaches that combine economic, legal and institutional analysis of financial markets.

Cover The World Trade Organization and Trade in Services

The World Trade Organization and Trade in Services

Edited by K. Alexander & M. Andenas

 

The growing importance of services trade to the global economy makes the WTO's General Agreement on Trade in Services an important concern of international economic policy. The GATS contains important innovations that build on the former GATT and existing WTO/GATT trade regime for goods. This books fills a void in the academic and policymaking literature by examining how the GATS governs international trade in services and its growing impact on the regulatory practices of WTO member states. It offers a unique interdisciplinary analysis of the GATS and related international trade issues from a variety of perspectives that include law, political economy, international relations, regulation, and business. The book is a welcomed addition to the WTO literature and will serve as a point of reference for academics, policymakers and practitioners.