The Basel Committee on Banking Supervision has defined operational risk, legal risk and compliance risk. However, the definitions might not be adequate for countries with a hybrid legal system, such as South Africa. This study aims to provide a practical solution to the problems faced by countries with a hybrid legal system wishing to comply with the Basel Committee’s standards. It is argued that compliance, compliance risk and regulatory risk should all be viewed as constituent components of legal risk, and in turn necessarily also of operational risk in a hybrid legal system. Legal risk is a wide concept which includes all aspects of a legal system, while compliance risk is a narrower concept which only includes the codified aspects of a legal system. Legal risk therefore includes compliance risk. However, the opposite is not true as compliance risk does not include legal risk, and the two concepts are decidedly shown not to be synonymous in a mixed legal system. / Thesis (PhD (Law))--North-West University, Potchefstroom Campus, 2013.

La régulation transcriptionnelle des gènes est un processus indispensable sans lequel la diversité phénotypique des cellules ainsi que l’adaptation à leur environnement serait inexistant. L’identification des éléments de régulation dans le génome est d’une importance capitale afin de comprendre les mécanismes gouvernant l’expression des gènes spécifiques à un type cellulaire donné. Ainsi, suite au pic de LH, le follicule ovarien entre dans un programme intensif de différentiation cellulaire, orchestré par des modifications majeures du profile transcriptionnel des cellules de granulosa, déclenchant ultimement l’ovulation et la lutéinisation, processus indispensables à la fertilité femelle. L’hypothèse supportée par cette étude stipule qu’une réorganisation de la structure chromatinienne survient aux régions régulatrices d’une panoplie de gènes dans les heures suivant le pic de LH et qu’en isolant et identifiant ces régions, il serait possible de retrouver des éléments essentiels aux processus d’ovulation et de lutéinisation. Ainsi, en utilisant un protocole standard de superovulation chez la souris, les éléments de régulation se modifiant 4h suivant l’administration de hCG ont été isolés et identifiés dans les cellules de granulosa en utilisant la méthode FAIRE (Formaldehyde-Assisted Isolation of Regulatory Elements) combinée à un séquençage haut débit. Cette étude a démontré que suite au stimulus ovulatoire, les cellules de granulosa subissent une reprogrammation majeure des éléments de régulation, qui est corrélée avec une modification drastique de leurs fonctions biologiques. De plus, cette étude a mis en évidence une association majoritaire des éléments de régulation à des régions intergéniques distales et à des introns, indiquant que ces régions ont une importance capitale dans la régulation transcriptionnelle dans les cellules de granulosa. Cette étude a également permis d’identifier une panoplie de régulateurs transcriptionnels reconnus pour être essentiels à la fonction ovarienne, ainsi que leur sites de liaison dans le génome, démontrant que la méthode FAIRE est une méthode assez puissante pour permettre la prédiction d’événements moléculaires précis ayant un sens physiologique réel. / Identification of regulatory elements in the genome is of paramount importance to understanding the mechanisms governing the expression of specific genes in a given cell type. Following the LH surge, the ovarian peri-ovulatory follicle enters an intensive program of cellular differentiation, orchestrated by major changes in the transcriptional profile of granulosa cells, ultimately triggering ovulation and luteinization, processes essentials for fertility in females. In the mouse, several genes essential to the success of this program are induced 2 to 6 hours after the ovulatory stimulus. Using a standard protocol for superovulation in mice, the regulatory elements were isolated and identified in granulosa cells 4h after administration of hCG using the method FAIRE (Formaldehyde-Assisted Isolation of Regulatory Elements) combined with next generation sequencing. The results of this analysis demonstrate that after the ovulatory stimulus, granulosa cells undergo a major reprogramming of regulatory elements, which is correlated with the extensive changes in their biological functions. In addition, this study showed that most regulatory elements were associated with distal intergenic regions and introns, indicating that these regions are important in transcriptional regulation in granulosa cells. A variety of transcriptional regulators known to be essential for ovarian function, and their binding sites were also identified in this analysis, demonstrating that the FAIRE method has the power to predict molecular events that have correlates in the known physiology of ovarian processes.

Genetic regulatory networks can model dynamics of cells. They also allow for studying the effect of internal or external interventions. Selectively applying interventions towards a certain objective is known as controlling network dynamics. In this thesis work, the issue of how the external interventions af fect the network is studied. The effects are determined using differential gene expression analysis. The differential gene expression problem is further studied to improve the power of the given method. Control problem for dynamic discrete regulatory networks is formulated. This also addresses the needs for various control strategies, e.g., finite horizon, infinite horizon, and various accounting of state and intervention costs. Control schemes for small to large networks are proposed and experimented. A case study is provided to show how the proposals are exploited / also given is the need for and effectiveness of various control schemes.

Diss. (sammanfattning) Stockholm : Karolinska institutet, 2007. / Härtill 4 uppsatser.

Thesis (M.S.)--Miami University, Dept. of Zoology, 2005. / Title from first page of PDF document. Document formatted into pages; contains [1], ix, 75 p. : ill. Includes bibliographical references (p. 69-75).

Le monde économique connaît actuellement un large mouvement de réglementation afin de stabiliser la finance et de renforcer la surveillance des activités bancaires à travers le nouveau dispositif de Bâle. Ce dernier est au centre du débat actuel sur les besoins de financement de l’économie dans le cadre de la crise actuelle et ses effets sur le financement de l’économie. En effet, les pays développés ont connu un credit crunch à la suite de la crise des subprimes et du renforcement de la réglementation des activités bancaires. Dans ce cadre, nous nous intéressons aux effets du nouveau cadre réglementaire et de son application dans les pays développés, où sont implantées les banques internationales, sur leurs flux bancaires vers les pays émergents qui ont déjà connu de grandes crises dues à la nature volatile de leur financement extérieur. Les résultats apportés dans le cadre de cette thèse montrent que la réglementation basée sur les pondérations aux risques affecte le volume, la structure et la volatilité de ces flux. En effet, vu l’importance des flux bancaires dans le financement des pays émergents et vu le renforcement des exigences réglementaires dans le contexte de la crise, la modification des possibilités d’arbitrage réglementaire a conduit à des modifications de la structure du financement externe des pays émergents avec la progression du financement obligataire au détriment du financement bancaire. Cette nouvelle structure, volatile et dépendant des cycles de marché, n’est pas sans conséquences sur la stabilité financière de ces pays trop sensible aux changements de financement externe, ce qui implique de nouveaux défis pour garantir la stabilité de ces pays émergents. / The economic world is now undergoing a large regulatory movement to stabilize finance and strengthen the supervision of banking activities through the new Basel agreement. This agreement is the focus of the current debate on the economy financing needs in the context of the recent crisis and its effects on the economy financing. Indeed, developed countries have recently experienced a credit crunch following the subprime crisis and strengthening the regulation of banking activities. In this context, we are interested in the effects of the new regulatory framework and its application in developed countries, where are headquarters of international banks, on their banking flows to emerging countries that have already experienced major crises due to the volatile nature of external financing. The results obtained in this thesis show that regulation based on risk weights affects the volume, structure and volatility of these flows. Indeed, given the importance of bank flows in the financing of emerging countries and given the strengthening of regulatory requirements in the context of the crisis, the change in regulatory arbitrage opportunities modifies the external financing structure of emerging countries with the evolution of bond financing instead of bank financing. This new external financing structure, volatile and depends on market cycles, is not without consequences for the financial stability of these countries, which remains very sensitive to changes in external financing, what implies new challenges to guarantee their stability.

Este trabalho analisa as relações existentes entre a autonomia das agências reguladoras, seus sistemas de controle e a qualidade dos serviços prestados pelas concessionárias de distribuição de energia elétrica, após a implantação das agências reguladoras federal e estaduais, no Brasil. A proposta é contribuir para o entendimento do sistema regulatório instaurado no setor de distribuição de energia elétrica brasileiro, sobretudo, analisando indicadores, cujas variações possam explicar os resultados da atuação das agências reguladoras na busca da qualidade dos serviços públicos concedidos. O presente trabalho procura contextualizar a reforma do Estado e a reestruturação do setor de distribuição de energia elétrica brasileiro. Discute, ainda, a adoção de novos paradigmas que norteiam a busca da eficiência dos serviços públicos. O estudo de caso, apresentado neste trabalho, tem a população composta pelas agências reguladoras estaduais de seis estados brasileiros (Bahia, Ceará, Pará, Rio Grande do Norte, Rio Grande do Sul e São Paulo), ligadas à Agência Nacional de Energia Elétrica (ANEEL) por convênio firmado entre 1998 e 2000, e suas respectivas concessionárias de distribuição de energia elétrica. Os dados coletados referem-se aos anos entre 1995 e 2000, pois refletem a situação da qualidade dos serviços antes da criação e após a implantação das agências reguladoras federal e estaduais. Os principais resultados evidenciam a existência de uma correlação entre alguns indicadores das variáveis independentes e dependente, ou seja, à medida que as agências incrementam suas atividades operacionais de controle, os indicadores de qualidade na prestação de serviços variam positivamente. O estudo de caso apresentado foi interpretado utilizando-se modelos de análise organizacional e institucional, para elucidar os motivos pelos quais a qualidade dos serviços das concessionárias dependeu da autonomia financeira das agências reguladoras e dos seus tipos de sistemas de controle. Embora as agências estaduais tenham apresentado diferentes formas de atuação, de controle e de organização, percebeu-se que aquelas que possuem sistemas de controle mais descentralizados, conquistaram melhores resultados na qualidade dos serviços prestados pelas concessionárias. A eficiência do sistema regulatório da distribuição do setor elétrico é traduzida pelo cumprimento dos contratos estabelecidos entre reguladores e regulados, pela qualidade dos serviços prestados pelos reguladores e pelo atendimento dos agentes regulados às determinações e recomendações propostas pelas agências. / This work analyzed the relationship among the regulatory agency's autonomy and systems of control related to the quality of services rendered by electric energy distribution utility companies after the implementation of Brazil’s federal and states’ regulatory agencies. It is intended to contribute to the understanding of the regulatory system started in Brazilian’s electric energy distribution sector in 1998. Furthermore, it attempted to analyse indicators and their variations that could explain the results of the regulatories agencies performance that guided the services rendered by the utilities companies towards efficiency. This thesis was focused on Brazilian’s state reform and restructuring of electric energy distribution sector. It also discussed about an adoption of new paradigms towards efficiency in the public services. The case study presented in this work was constituted by regulatory agencies of six Brazilian’s states (Bahia, Ceará, Pará, Rio Grande do Norte, Rio Grande do Sul and São Paulo) concorded to the National Agency of Electric Energy (ANEEL), from 1998 to 2000, and their respective electric energy utility companies. The data gathered between 1995 and 2000 reflected the service quality before and after the creation and implementation of federal and states’ regulatories agencies. The main results revealed the existence of a correlation between the indicators of the variables independents and dependent. Once the agencies developed their activities of operational control, the indicators of quality service varied positively. The case study was analyzed using organizational and institutional analysis models. This made it possible to elucidate the reasons which the quality of the services depended on the financial autonomy of the regulatory agencies and their types of the control systems. Even though the state’s agencies got different performances into their methods of control and organization, it was noticed that the ones with their control systems more decentralized obtained better results regarding the quality of the services rendered by the utility companies. The efficiency of the distribution regulatory system of the electric sector is translated by the execution of contracts established between rule makers and utility companies, by the quality of the rule makers, and also by the utility companies to attend of the determinations and recommendations proposed by agencies.

Submitted by José Augusto Mazzoni Martins Ferreira (josemazzoni@bancobbm.com.br) on 2017-11-01T19:45:43Z No. of bitstreams: 1 Dissertacao - José Mazzoni (versão final).pdf: 1837578 bytes, checksum: 7e30e5efce6e72b928dccfb012c11a50 (MD5) / Approved for entry into archive by Marcia Bacha (marcia.bacha@fgv.br) on 2017-11-29T13:53:47Z (GMT) No. of bitstreams: 1 Dissertacao - José Mazzoni (versão final).pdf: 1837578 bytes, checksum: 7e30e5efce6e72b928dccfb012c11a50 (MD5) / Made available in DSpace on 2017-11-29T13:54:08Z (GMT). No. of bitstreams: 1 Dissertacao - José Mazzoni (versão final).pdf: 1837578 bytes, checksum: 7e30e5efce6e72b928dccfb012c11a50 (MD5) Previous issue date: 2017-01-24 / This work evaluates the regulatory capital required by Brazilian Central Bank (“BCB”) from financial institutions under its regulation, concerning the standard approach for marked risk, compared to alternative approaches commonly used by the financial industry, equivalent to VaR and Stress-Testing models. For a chosen group of risky assets (foreign currencies, stocks, stock indexes, commodities and interest rates), it was calculated the regulatory capital required by BCB under standard approach and compared to the estimated potential losses, according the alternative models. The results evidence a conservative position by BCB related to market risk of foreign currencies and interest rates, being more suitable for commodities and lenient for equities and their respective indexes. It is also possible to observe the existence of regulatory arbitrage, in which there is very low regulatory capital requirement (or no requirement) for certain risky assets portfolios. / Esse trabalho avalia o capital requerido pelo Banco Central do Brasil (“BCB”) das instituições financeiras por ele reguladas, para risco de mercado segundo abordagem padronizada, em comparação com métricas comumente adotadas pela indústria financeira, referentes aos modelos de VaR e Stress-Testing. Para um determinado grupo escolhido de ativos arriscados (moedas, ações, índice de ações, commodities e taxas de juros), foi aplicada a abordagem do BCB para o capital regulatório requerido e comparada com a perda potencial estimada pelos modelos alternativos. Os resultados evidenciam uma postura bastante conservadora por parte do BCB em relação aos riscos de mercado de moedas e taxas de juros, sendo mais ponderada para commodities e leniente para ações e seus respectivos índices. Pode-se também avaliar a existência de arbitragens regulatórias, onde há exigência muito baixa de capital regulatório (ou nenhuma exigência) para determinados portfólios arriscados.

In biology, regulatory networks are sets of macromolecules, mostly proteins and RNAs that interact to execute task. The main players in regulatory networks are DNAbinding proteins, also called transcription factors as they modulate the first step in gene expression. A gene regulatory network (GRN) is a set of genes or proteins that interact with each other to control a specific cell function. Gene regulatory networks are important in development, differentiation and to respond to environmental cues. Gene regulatory networks (GRNs) are the on-off switches of a cell operating at the gene and/or protein level. The modeling methods can be broadly categorized into continuous and discrete. In this work , we dedicate attention to discrete models on cell senescence models for Astrocyte [35], the modelling of drug synergies to control gastric cancer [38], and we also wrote a paper about Discrete and Continuous Model, advantage or disadvantage of these models and a list of available softwares for using these kind of approaches. / Em biologia, redes regulatórias são conjuntos de macromoléculas, principalmente proteínas e RNAs que interagem para executar uma tarefa. As proteínas de ligação de DNA, também chamadas de fatores de transcrição, são as principais executoras nas redes regulatórias, visto que modulam o primeiro passo na expressão gênica. Uma rede genética regulatória (RRG) é um conjunto de genes ou proteínas que interagem uns com os outros para controlar uma função celular específica. Redes regulatórias são importantes no desenvolvimento, diferenciação e para responder aos sinais ambientais. Elas são os botões de liga/desliga de uma célula operando no nível do gene e/ou proteína. Seus métodos de modelagem podem ser geralmente classificados em contínuos e discretos. Neste trabalho, dedicamos atenção aos modelos discretos em senescência celular para astrócitos [35], a modelagem de sinergias de drogas para controle do câncer gástrico [38] e também escrevemos um artigo sobre Modelos Discretos e Contínuos, vantagens e desvantagens desses modelos e listagem dos softwares disponíveis para uso nesse tipo de abordagem.

Este trabalho analisa as relações existentes entre a autonomia das agências reguladoras, seus sistemas de controle e a qualidade dos serviços prestados pelas concessionárias de distribuição de energia elétrica, após a implantação das agências reguladoras federal e estaduais, no Brasil. A proposta é contribuir para o entendimento do sistema regulatório instaurado no setor de distribuição de energia elétrica brasileiro, sobretudo, analisando indicadores, cujas variações possam explicar os resultados da atuação das agências reguladoras na busca da qualidade dos serviços públicos concedidos. O presente trabalho procura contextualizar a reforma do Estado e a reestruturação do setor de distribuição de energia elétrica brasileiro. Discute, ainda, a adoção de novos paradigmas que norteiam a busca da eficiência dos serviços públicos. O estudo de caso, apresentado neste trabalho, tem a população composta pelas agências reguladoras estaduais de seis estados brasileiros (Bahia, Ceará, Pará, Rio Grande do Norte, Rio Grande do Sul e São Paulo), ligadas à Agência Nacional de Energia Elétrica (ANEEL) por convênio firmado entre 1998 e 2000, e suas respectivas concessionárias de distribuição de energia elétrica. Os dados coletados referem-se aos anos entre 1995 e 2000, pois refletem a situação da qualidade dos serviços antes da criação e após a implantação das agências reguladoras federal e estaduais. Os principais resultados evidenciam a existência de uma correlação entre alguns indicadores das variáveis independentes e dependente, ou seja, à medida que as agências incrementam suas atividades operacionais de controle, os indicadores de qualidade na prestação de serviços variam positivamente. O estudo de caso apresentado foi interpretado utilizando-se modelos de análise organizacional e institucional, para elucidar os motivos pelos quais a qualidade dos serviços das concessionárias dependeu da autonomia financeira das agências reguladoras e dos seus tipos de sistemas de controle. Embora as agências estaduais tenham apresentado diferentes formas de atuação, de controle e de organização, percebeu-se que aquelas que possuem sistemas de controle mais descentralizados, conquistaram melhores resultados na qualidade dos serviços prestados pelas concessionárias. A eficiência do sistema regulatório da distribuição do setor elétrico é traduzida pelo cumprimento dos contratos estabelecidos entre reguladores e regulados, pela qualidade dos serviços prestados pelos reguladores e pelo atendimento dos agentes regulados às determinações e recomendações propostas pelas agências. / This work analyzed the relationship among the regulatory agency's autonomy and systems of control related to the quality of services rendered by electric energy distribution utility companies after the implementation of Brazil’s federal and states’ regulatory agencies. It is intended to contribute to the understanding of the regulatory system started in Brazilian’s electric energy distribution sector in 1998. Furthermore, it attempted to analyse indicators and their variations that could explain the results of the regulatories agencies performance that guided the services rendered by the utilities companies towards efficiency. This thesis was focused on Brazilian’s state reform and restructuring of electric energy distribution sector. It also discussed about an adoption of new paradigms towards efficiency in the public services. The case study presented in this work was constituted by regulatory agencies of six Brazilian’s states (Bahia, Ceará, Pará, Rio Grande do Norte, Rio Grande do Sul and São Paulo) concorded to the National Agency of Electric Energy (ANEEL), from 1998 to 2000, and their respective electric energy utility companies. The data gathered between 1995 and 2000 reflected the service quality before and after the creation and implementation of federal and states’ regulatories agencies. The main results revealed the existence of a correlation between the indicators of the variables independents and dependent. Once the agencies developed their activities of operational control, the indicators of quality service varied positively. The case study was analyzed using organizational and institutional analysis models. This made it possible to elucidate the reasons which the quality of the services depended on the financial autonomy of the regulatory agencies and their types of the control systems. Even though the state’s agencies got different performances into their methods of control and organization, it was noticed that the ones with their control systems more decentralized obtained better results regarding the quality of the services rendered by the utility companies. The efficiency of the distribution regulatory system of the electric sector is translated by the execution of contracts established between rule makers and utility companies, by the quality of the rule makers, and also by the utility companies to attend of the determinations and recommendations proposed by agencies.