Market Misconduct in Decentralized Finance (DeFi): Analysis, Regulatory Challenges and Policy Implications

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Main Authors: Xiong, Xihan, Wang, Zhipeng, Cui, Tianxiang, Knottenbelt, William, Huth, Michael
Format: Preprint
Published: 2023
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author Xiong, Xihan
Wang, Zhipeng
Cui, Tianxiang
Knottenbelt, William
Huth, Michael
author_facet Xiong, Xihan
Wang, Zhipeng
Cui, Tianxiang
Knottenbelt, William
Huth, Michael
contents Technological advancement drives financial innovation, reshaping the traditional finance landscape and redefining user-market interactions. The rise of blockchain and Decentralized Finance (DeFi) underscores this intertwined evolution of technology and finance. While DeFi has introduced exciting opportunities, it has also exposed the ecosystem to new forms of market misconduct. This paper aims to bridge the academic and regulatory gaps by addressing key research questions about market misconduct in DeFi. We begin by discussing how blockchain technology can potentially enable the emergence of novel forms of market misconduct. We then offer a comprehensive definition and taxonomy for understanding DeFi market misconduct. Through comparative analysis and empirical measurements, we examine the novel forms of misconduct in DeFi, shedding light on their characteristics and social impact. Subsequently, we investigate the challenges of building a tailored regulatory framework for DeFi. We identify key areas where existing regulatory frameworks may need enhancement. Finally, we discuss potential approaches that bring DeFi into the regulatory perimeter.
format Preprint
id arxiv_https___arxiv_org_abs_2311_17715
institution arXiv
publishDate 2023
record_format arxiv
spellingShingle Market Misconduct in Decentralized Finance (DeFi): Analysis, Regulatory Challenges and Policy Implications
Xiong, Xihan
Wang, Zhipeng
Cui, Tianxiang
Knottenbelt, William
Huth, Michael
Computational Finance
Technological advancement drives financial innovation, reshaping the traditional finance landscape and redefining user-market interactions. The rise of blockchain and Decentralized Finance (DeFi) underscores this intertwined evolution of technology and finance. While DeFi has introduced exciting opportunities, it has also exposed the ecosystem to new forms of market misconduct. This paper aims to bridge the academic and regulatory gaps by addressing key research questions about market misconduct in DeFi. We begin by discussing how blockchain technology can potentially enable the emergence of novel forms of market misconduct. We then offer a comprehensive definition and taxonomy for understanding DeFi market misconduct. Through comparative analysis and empirical measurements, we examine the novel forms of misconduct in DeFi, shedding light on their characteristics and social impact. Subsequently, we investigate the challenges of building a tailored regulatory framework for DeFi. We identify key areas where existing regulatory frameworks may need enhancement. Finally, we discuss potential approaches that bring DeFi into the regulatory perimeter.
title Market Misconduct in Decentralized Finance (DeFi): Analysis, Regulatory Challenges and Policy Implications
topic Computational Finance
url https://arxiv.org/abs/2311.17715