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Simon Johnson

Simon Johnson

Posted: March 22, 2010 08:50 AM

Volcker and Bernanke: So Close and Yet So Far

What's Your Reaction:

In case you were wondering, Paul Volcker is still pressing hard for the Senate (and Congress, at the end of the day) to adopt some version of both "Volcker Rules". It's an uphill struggle - the proposed ban on proprietary trading (i.e., excessive risk-taking by government-backed banks) is holding on by its fingernails in the Dodd bill and the prospective cap on bank size is completely missing. But Mr. Volcker does not give up so easily - expect a firm yet polite diplomatic offensive from his side (although the extent of White House support remains unclear), including some hallmark tough public statements. It's all or nothing now for both Volcker and the rest of us.

But at the same time as the legislative prospects look bleak (although not impossible), we should recognize that Paul Volcker has already won important adherents to his general philosophy on big banks, including - most amazingly of late - Ben Bernanke, at least in part. In a speech Saturday, Bernanke was blunt,

"It is unconscionable that the fate of the world economy should be so closely tied to the fortunes of a relatively small number of giant financial firms. If we achieve nothing else in the wake of the crisis, we must ensure that we never again face such a situation [like fall 2008]."

You may dismiss this as empty rhetoric, but there is a definite shift in emphasis here for Bernanke - months of pressure from the outside, the clear drop in prestige of the Fed on Capitol Hill, and the pressure from Paul Volcker is definitely having an impact.

Bernanke finally understands the "doom loop" - in fact, he provides a nice succinct summary:

"The costs to all of us of having firms deemed too big to fail were stunningly evident during the days in which the financial system teetered near collapse. But the existence of too-big-to-fail firms also imposes heavy costs on our financial system even in more placid times. Perhaps most important, if a firm is publicly perceived as too big, or interconnected, or systemically critical for the authorities to permit its failure, its creditors and counterparties have less incentive to evaluate the quality of the firm's business model, its management, and its risk-taking behavior. As a result, such firms face limited market discipline, allowing them to obtain funding on better terms than the quality or riskiness of their business would merit and giving them incentives to take on excessive risks."

He also expands on an important, related point - that the presence of "too big to fail" is simply unfair and really should be opposed by all clear thinking businesspeople who don't run massive banks (aside: someone kindly point this out to the Chamber of Commerce - they are undermining their people),

"Having institutions that are too big to fail also creates competitive inequities that may prevent our most productive and innovative firms from prospering. In an environment of fair competition, smaller firms should have a chance to outperform larger companies. By the same token, firms that do not make the grade should exit, freeing up resources for other uses.... In short, to have a competitive, vital, and innovative financial system in which market discipline encourages efficiency and controls risk, including risks to the system as a whole, we have to end the too-big-to-fail problem once and for all."

Bernanke now endorses the first Volcker Rule, "Some proposals have been made to limit the scope and activities of financial institutions, and I think a number of those ideas are worth careful consideration. Certainly, supervisors should be empowered to limit the involvement of firms in inappropriately risky activities."

But he is still hampered by the illusion that there is any evidence we need megabanks in their current form - let alone in their likely, much larger, future form. Let me be blunt here, as the legislative agenda presses itself upon us.

I've discussed this issue - in public where possible and in private when there was no other option - with top finance experts, leading lawyers, preeminent bankers (including from TBTF institutions), and our country's most prominent policymakers. And I have testified on this question before Congress, including to the Joint Economic Committee, the House Financial Services Committee, and - most recently - the Senate Banking Committee, where leading spokesmen for big banks were also present.

Mr. Bernanke, with all due respect: there is simply no evidence to support the assertion that, "our technologically sophisticated and globalized economy will still need large, complex, and internationally active financial firms to meet the needs of multinational firms, to facilitate international flows of goods and capital, and to take advantage of economies of scale and scope," at least if this implies - as it appeared to on Saturday - we need banks at or close to their current size.

We can settle this in a simple and professional manner. Ask your staff to contact me with the evidence - or, if you prefer, simply have a Fed governor provide the compelling facts in a speech and/or have a staff member put out the technical details in a working paper.

There is no compelling case for today's massive banks, yet the downside to having institutions with their current incentives and beliefs is clear and awful. Think hard: what has so far changed for the better in the system that brought us to the brink of global collapse in September 2008? In this context, Mr. Bernanke's three part proposal for dealing with these huge banks should leave us all quite queasy:

  1. He wants tighter regulation. Fine, but what happens next time there is "let it all go free" president again - a Reagan or a Bush? Regulation cannot be the answer; there must be legislation.
  2. Improving the clearing and settlement of derivatives is also fine. But why not also make the banks involved smaller - given that a bankruptcy of a future megabank could easily involve millions of open derivative positions? This would also make complete sense as a complementary measure - unless you think society would lose greatly from the absence of megabanks. Again, show us the evidence.
  3. A resolution authority is not a bad idea. But everyone involved in rescuing the big banks with unconditional guarantees in spring 2009 insists on one point - if they had run any kind of FDIC-type resolution process, this would have been prohibitively expensive to the taxpayer. You simply cannot have this both ways - either resolution/bankruptcy was a real option in early 2009 (as we argued) or it was not (as Mr. Geithner argues), but in that case the resolution authority (and also living wills, by the way) would change precisely nothing.

Mr. Bernanke needs to face some unpleasant realities. Because of the various actions - some unavoidable and some not - it took in saving Too Big To Fail financial institutions during 2008-09, the Federal Reserve is now looked up with grave suspicion by a growing number of people on Capitol Hill.

The cherished independence of the Fed is now called into question - and losing this could end up being a huge consequence of the irresponsible behavior and effective blackmail exercised by megabanks - who still say, implicitly, "bail us all out, personally and generously, or the world economy will suffer".

Mr. Volcker sees all this and wants to move preemptively to cap the size of our largest banks. Mr. Bernanke has one last window in which to follow suit (e.g., lobbying Barney Frank could still be effective). In a month it could be too late - the legislative cards are now being dealt.

Mr. Bernanke is a brilliant academic and, at this stage, a most experienced policymaker. What is holding him back?

Cross-posted from The Baseline Scenario.

 
 
 
 
 
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08:43 PM on 04/15/2010
I whole-heartedly agree. There is no benefit to having so these large institutions. As a small business owner I saw most of our credit lines chopped down with little or no warning by these same institutions. They did not ask for a pro-forma or any other financial numbers for the company. Just all of a sudden - instead of $500,000 now your limit is $247,000. Why, what? Or your interest rate was 4.25%. It now will be 12.99%. Why, what?
We have never had a late payment and our finances are excellent.
There is obviously no reasonable business sense governing these banks. They are too big to manage. When they saw the market reacting they decided to cut down their loan portfolios without regard to the performance of each loan. That is a wild swing from a few years ago when they would issue mortgages to anyone that could fog a mirror. Just swinging from one extreme to the other without a clear direction or common sense.
The only "innovations" have simply created instruments that hid the risk in non-standard MBS or CDO's or off-books entities. I have seen loans get wiped out in tax deed proceedings time and again - someone in the bank simply stopped minding the store.
11:45 AM on 03/24/2010
Where are the prosecutors looking into the Wall Street corruption?
12:47 PM on 03/23/2010
AUDIT the FED!

And then when we see what an disasterous institution it is we END the FED!
12:32 PM on 03/23/2010
AUDIT THE FED . This " reform" is nothing but telling Al Capone he has to wear a different color suit .
11:42 PM on 03/22/2010
Niether one of these buffoons has the sense he was born with!
12:17 AM on 03/23/2010
Please don't lump Paul in with Bernanke. It is going to be interesting to see who wins on this on. I'm for Volcker and if he doesn't succeed we will clearly see the depth of corruption in our government.
HUFFPOST SUPER USER
113
is awesome
10:47 PM on 03/22/2010
Great article but at this point I doubt we're going to see any meaningful reforms. 20-30 years from now we're going to have to bail these same banks out again except they'll be even BIGGER and we'll be spending tens of trillions of dollars bailing these guys out. It's really sad that our government is so inept nowadays, we have a whole party who's platform has been nonsensical since Reagan and we have another party that is held hostage by the so-called "blue-dogs" who buy into the nonsense conservatives believe. Nothing meaningful will ever get done, healthcare was so watered down that all the major proposals liberals said we needed in the legislation in the first place will HAVE to be added in 10-20 years time when the private sector starts acting up and getting greedy again.
12:21 AM on 03/23/2010
These are not banks they are investment casinos playing with your money and mine. AIG is not a bank it is an insurance company insuring bets made by the big banks and guaranteed back up by Paulson and the American Congress.
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HUFFPOST SUPER USER
Carl Caroli
Give peace a chance
07:44 PM on 03/22/2010
Bernanke can not think out of the box. He is a big institution, no regulation guy trying to cover his big butt. TBTF is TFB. Break them up and limit their size to .001 GDP, period.
02:45 PM on 03/22/2010
Never, ever underestimate the capacity of power to corrupt, especially the capacity of power to corrupt those who are too vain to look at awkward truths. Ben Bernancke, grow up! Put banking and finance health above your own personal vanities!

Yes, he will need help with this. After all, boy Geithner is out there strutting with the baby peacocks, telling them all they want to hear about how he will single handedly wrestle the unruly dragons to the mat. That will be day pigs fly into the Pentagon.
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HUFFPOST SUPER USER
StJames
In absentia luci tenebrae vincunt
02:15 PM on 03/22/2010
We don not need a central bank that creates money by putting us and our government into debt and creates massive profits for too big too fail banks....something else we don't need. The Fed contravenes the constitution, get rid of it.
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02:13 PM on 03/22/2010
I am so glad you are on our (everyman) side. Thanks a gazillion times.
02:00 PM on 03/22/2010
Geithner promoted, Bernanke reappointed, Summers and Rubin managing it on behalf of the con man from Chicago, and the author asks what is holding Bernanke back?
The answer is money.
12:50 PM on 03/22/2010
Well, once again, not one word about the role the government played in causing the financial meltdown.

If the number of subprime loans had not skyrocketed from less than 2% of home loans in 1994 to 20% in 2008, there would have been precious few subprimes to bundle into toxic assets in the first place, and the damage to our economy would have been vastly reduced.

Why did the number of subprime mortgages start exploding in 1995? Because the government began using a variety of tools (not just the CRA) to pressure banks into making subprime loans, in the name of helping low-income folks buy homes. Not only that, but the government began providing a huge carrot to encourage subprime loans by having Freddie and Fannie fund and/or guarantee thousands of them. These disastrous policies started under Clinton and continued under Bush.

Did Deregulation and Capitalism Cause the Financial Crisis?
http://www.mtgriffith.com/web_documents/financialcrisis.htm
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HUFFPOST SUPER USER
StJames
In absentia luci tenebrae vincunt
02:09 PM on 03/22/2010
The government did not ask the banks to devise risky products with such high transaction costs and such ridiculous terms they were almost guaranteed to default. CRA loans are outperforming Prime loans...just how do you explain that I wonder? You may want to blame the government for this, but the only thing they are guilty of is listening to the "free-market" BS. There is no free market...hasn't been since Reagan signed the act, in 1988, creating the Plunge Protection Team. Deregulation killed the economy as the fans of deregulation knew it would eventually. You should research the historic movement of wealth that results from each and every recession and depression. You'll find that the result of each is that the rich end up with a greater percentage of the nation's wealth...that's true here and everywhere that has a central bank that creates money by creating debt as does our Federal Reserve Bank. You should be very suspect of anything that is being put forward by investors....
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booki
12:47 PM on 03/22/2010
i shall never understand.......Obama was echoing : change
and hired the same old financial "advisors" aka ... wall street buddies......
to rectify our economy.....
that was destoyed due to their stupidity and or arrogance. or connections.
so ...........here we are right back where we started,, with the same old faces..........
bernanke, geithner.........summers.

thank god, they pumped billions of dollars, at 0 interest, so the crook banks, could come back ............and do it all over again.
12:39 PM on 03/22/2010
Want Financial Reform?

Hire more white collar crime investigators. Since 9/11, too many FBI members have been moved from corporate crime to terr/orism.

Here is an excellent summary of the problem on THE REAL NEWS NETWORK.

http://therealnews.com/t2/index.php?option=com_content&task=view&id=31&Itemid=74&jumival=4919
04:24 AM on 03/23/2010
Our financial reform is going to be expanded IRS.

They are really gonna make us shape up.
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Kevin Atlanta
Active Citizen 54
12:27 PM on 03/22/2010
Dodd and Lieberman are both jokes as are most of the purchased politicians...
Where is the Pecora Investigation?
Why hasn't Bernanke complied with the court order for disclosure of where America's money went?
Audit the FED and then Destroy it.
Glass Steagall is a good start like 2000 lawyers at the bottom of the Bahamian Trench.
Bernanke turned Golman Sachs to a bank to pay them off for the arson at AIG.
Claw back the bonuses, Claw back the profits and tell these Corporate Communists, the Oligarchs that they wouldn't exist without the American People and we own them.
The paper people have more rights than biological people and these creeps are the problem.