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The international tax system has been the locus of both international scandals and sweeping regulatory change since the Global Financial Crisis of 2008 (GFC). Starting with two highly publicised international tax scandals involving Switzerland's UBS and Liechtenstein's LGT banks, the past decade witnessed a string of further scandals including some of the largest-ever data leaks such as the Panama Papers and Luxembourg Leaks. Simultaneous to the first scandals breaking, governments were responding to the fallout of the GFC, bailing out too-big-to-fail banks with taxpayer money. The confluence of these events resulted in an "evolutionary moment" (Grinberg, 2012) in international tax regulation, where a new regulatory regime, originating in the US Foreign Account Tax Compliance Act (FATCA), forced nearly every non-US financial institution on earth to act as tax reporting intermediaries for the US. Despite early attempts to repeal FATCA, it quickly became the international standard for the cross-border automatic exchange of information for tax purposes. This dissertation asks why the FATCA regime succeeded in becoming a global regime where previous international initiatives failed. Drawing from the international political economy literature, the dissertation seeks to answer this question by comprehensively testing Drezner's Revisionist Model as an explanatory framework for the emergence of the new regime. The aims of the dissertation are to understand the power dynamics between the 'great power' states in implementing the regime, and how the application of the Revisionist Model's analytic framework can help foster a more nuanced empirical understanding of the architecture of the global financial system and its role in regulatory governance. As such, the dissertation speaks to several related literatures: international regulatory governance and global financial regulation (e.g. Drezner, 2008; Kahler and Lake, 2003; Keohane and Nye, 2012; Quaglia, 2014; Simmons, 2001), international tax coordination literature (e.g. Christians, 2014; Grinberg, 2012; Palan, Murphy, Chavagneux, 2010; Sharman, 2006; Zucman, 2015), as well as contributions to regulatory theory development (e.g. Drezner, 2008; Farrell, Newman, 2021; Mattli and Büthe, 2011; Mattli and Woods, 2009; Quaglia, 2014; Slaughter, 2004). After examining recent theoretical developments, the dissertation provides a detailed explication of the Revisionist Model before comprehensively testing the model through the FATCA regime case study. The analysis finds the Revisionist Model does not fully explain the regime's emergence due to several falsified elements, including limitations in defining 'great powers' as the explanatory variable. The model also correspondingly struggled to predict the standards that describe real-world events. A significant finding here that is contrary to the model's core hypotheses, is that small states-as compared to the US and EU as 'great powers'-such as the UK and Switzerland, as well as coalitions of small states, were critical to the overall success of the regime development. Consequently, the dissertation argues that while the theoretical frame of the Revisionist Model is a powerful heuristic, different issue areas will likely require independent variables more closely related to their respective issue areas when defining the relevant great powers. The research also details methodological learnings derived from the model as an analytical tool, presenting several areas of further research in theory development. The Revisionist Model as analytical frameworks is nonetheless a formidable tool for understanding and analysing the case study of the FATCA regime, offering four substantive findings relating to the research question. First, the US was able to translate its market size into a credible coercive mechanism and globally operationalise the threat. Second, to break through the international impasse on FATCA's implementation, the US formed a bargaining core the EU's five largest economies, tacitly acknowledging that despite its enormous power asymmetry, it could not solve the problem of global tax evasion, even for itself, on its own. Third, the overwhelming structural commonalities between the US and EU financial regulatory architecture, made implementation less expensive and enabled the US to leverage existing financial crime regulation to build on. Last, the political salience of the offshore tax evasion problem, as a function of major tax scandals and a post-GFC international appetite for regulatory coordination, created unique circumstances for regime development that the US and EU actors were able to leverage, leading to a global regime with both bilateral and multilateral outcomes. The dissertation's main theoretical contribution is the application of a novel case in global tax regulation to test a major theory of regulatory governance in IPE. The dissertation also contributes to state power modelling and the definition of 'great powers', and power dynamics in global financial regulation. Last, the dissertation contributes to the growing IPE issue area of international tax regulation.

More than three decades since the dissolution of Yugoslavia the history of integrating the region into the wider European system is, at best, mixed. Of the original six republics, plus Kosovo, only two are current members of the European Union (EU) while the rest remain at various stages of accession. This study examines three of the countries - Slovenia, Croatia, and Serbia - to attempt to contribute to the literature surrounding the widely varied experiences of Europeanization in former Yugoslavia. Specifically, this piece seeks to answer the question of under what conditions do informal political networks impact the EU accession process of former Yugoslav states. Within this overarching question Europeanization is conceived as a process of diffusion of norms or "ways of doing things" (Radaelli 2002, 3) to a candidate state with the end goal being accession. The External Incentives Model (EIM) emphasizes the role external actors play in driving this change in candidate states (Schimmelfennig and Sedelmeier 2005). Alternatively, Europeanization can also be conceived as a process of policy learning whereby actors learn either in a hierarchy, with top down diffusing of norms, or in epistemic contexts, where learning is driven by problem solving and expertise (Dunlop and Radaelli 2018). In combination with these approaches, this thesis also draws on insights from the study of informality and, in particular, informal networks which posits that behind formal processes lies a second world of unwritten codes and practices which act to enable and constrain certain types of behaviours (Helmke and Levitsky 2004). To test this interaction this thesis uses Social Network Analysis (SNA) to examine the impact of informal political networks within the parliaments of Slovenia, Croatia, and Serbia on their respective roads to accession. All cases are examined in the period between their first agreements with the EU and accession, or until 2020 in the case of Serbia which is still a candidate state. This provides a timetable of 1992- 2004 for Slovenia, 2000-2013 for Croatia, and 2008-2020 for Serbia. In each case, the parliament is analysed by combining both quantitative insights from SNA with qualitative interviews conducted with policymakers in the region. This research reveals that while the impact can be subtle, the structure and nature of the informal networks in each of the cases acted to enable and constrain the accession process helping to explain some of the variation in the length and experience of accession, and thus of Europeanization.

Energy is of vital importance to the economy of the European Union (EU), safeguarding stability and prosperity for its Member States and citizens. Cooperation in energy policy was enshrined as a cornerstone in the EU's founding treaties, through the European Coal and Steel Community (ECSC) and the Euratom Treaty. However, energy policy was initially characterised by limited and shallow integration, with the first measures to integrate the policy area implemented 40 years after the foundation of the ECSC. Within this context, the Commission has taken an ambitious stance and proposed an umbrella institution to embrace the various dimensions of energy policy: the European Energy Union. This thesis aims to assess the factors and mechanisms that lead to integration, including both the internal and external dimension of European energy policy. In order to achieve this, it utilises Historical Institutionalism as a theoretical tool, which stands between rational choice and sociological approaches to the study of institutions. Based on the notions of path dependence, institutional lock-in and institutional inertia, the project analyses how the institutional matrix both constrains and enables different actors’ political strategies. This is accomplished through a comprehensive analysis of primary and secondary legislation, historical documentation, communications, supplemented by primary data gathered from interviewing decision-makers and experts in Brussels. Process-tracing is applied to test four hypotheses regarding integration of the energy sector from the inception of the ECSC to the Energy Union. It assesses under what premises initial legislative proposals were made, identifies critical junctures that enabled institutional change, and determines which key players were pivotal in formulating policy proposals, ultimately culminating in the policy package for the Energy Union. Ultimately, this PhD thesis seeks to answer the question under what conditions does integration occur in the policy area of energy over time?

The European Commission has been negotiating Economic Partnership Agreements (EPAs) with Regional Economic Communities of African, Caribbean and Pacific Group of States since 2002. The outcomes have been mixed. The negotiations with the Caribbean Forum (CARIFORUM) concluded rather more quickly than was initially envisaged, whereas negotiations with West African Economic Community (ECOWAS) and the remaining ACP regions have been dragging on for several years. This research consequently addresses the key question of what accounts for the variations in the EPA negotiation outcomes, making use of a comparative research approach. It evaluates the explanatory power of three research variables in accounting for the variation in the EPA negotiations outcomes – namely, Best Alternative to the Negotiated Agreement (BATNA); negotiation strategies; and the issues linkage approach – which are deduced from negotiation theory. Principally, the study finds that, the outcomes of the EPA negotiations predominantly depended on the presence or otherwise of a “Best Alternative” to the proposed EPA; that is then complemented by the negotiation strategies pursued by the parties, and the joint application of issues linkage mechanism which facilitated a sense of mutual benefit from the agreements.

This thesis advances global governance literature by focusing on the conditions under which procedural harmonisation occurs and how it is characterised. It suggests that the existence of a network of intergovernmental organisations (IGOs) complements great powers’ action and acts as a force for harmonisation in the making of international anti-money laundering (AML) standards. Procedural harmonisation is identified firstly, through a discussion on great power coalitions and how their interests set international agendas and impose compliance. Secondly, it is also recognised as an outcome of the IGOs’ network action through shared preferences, resource exchanges and stable relationships. Ultimately, the analysis determines that great powers are a necessary but not sufficient condition for procedural harmonisation, which is moreover favoured when legitimacy, expertise, and the need to achieve compliance are present. In sum, the thesis discusses the impact of international actors’ interactions in the making of international AML standards from 1989 to 2014, particularly the development of FATF Recommendations on ‘Customer Due Diligence’. The analysis identifies that the United States and the European Union, as great powers and members to the G-7, are the most influential actors. However, it adds that the IGOs network structure created between the Financial Action Task Force (FATF), the International Monetary Fund, the World Bank, the United Nations, and the Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism is also a necessary actor to the achievement of procedural harmonisation. Data analysis is carried out through process-tracing, which triangulates elite interviews and non-participant observation with primary and secondary documents of legal, policy and expert nature. This thesis concludes that: a) procedural harmonisation is a product of international cooperation; b) IGOs gain influence in standard-making through network structures; and, c) procedural harmonisation may be an example to future global governance strategies if complemented with levels of legitimacy, expertise and the need to achieve compliance.

Energy policy in the European Union (EU) is a patchwork of diverging interests and preferences. While the European Commission pushes for a common energy policy, Member States are responsible for their own separate energy policies. These divergences in interests and preferences might create a conflict situation between the Commission and Member States. This thesis explores the Commission’s behaviour vis-à-vis the Member States, investigating the conditions under which the Commission is likely to try to deviate from Member States’ preferences in the external dimension of the EU internal energy market. Adopting a Principal-Agent Model (PAM), this thesis conceptualizes the Member States as principals and the Commission as their agent. A qualitative case study approach and process-tracing method are applied to appreciate the variety of preferences of the actors involved, and provide a means to study the various shades of post-delegation agent’s behaviour. This thesis looks at four in-depth case studies: 1) Decision 994/2012 on establishing an information exchange mechanism with regard to intergovernmental agreements between Member States and third countries in the field of energy; 2) Directive 2009/73/EC on common rules for the internal market in gas; 3) Energy Community Treaty; and 4) Energy Charter Treaty. These were selected based on their relevance to the research question. Findings suggest that two factors are likely to affect the Commission’s deviation from Member States’ preferences: a) the preference alignment among the principals and b) the preference alignment between the principals and the agent. This thesis suggests that when the preferences between the agent and the principals are heterogeneous, the agent is more likely to deviate from the preferences of the principals. This thesis also suggests that the preference alignment among the principals only has a secondary effect on the agent’s deviation. Finally, this research contributes to the further development of the PAM offering a possible categorisation of post-delegation agent’s behaviour going beyond the dichotomy of deviation and non-deviation.

The thesis tests the efficacy of Principal-Agent (PA) theory in explaining the creation and development of the European Neighbourhood Policy (ENP). As such, the thesis is subject as well as theory-driven. Empirically, the focal point is how the interaction between the EU member states and the European Commission affected the development of the ENP. It is a theme which is largely overlooked in the ENP literature. In terms of theory, the ENP represents a fascinating case study for PA analysis not only because it has rarely been applied to the field of EU foreign policy but also because PA has seldom been used for studying the evolution of a policy (both pre and post-delegation). Conceptualising EU member states as principals and the European Commission as agent, the thesis examines PA dynamics through the following three ENP policy stages: formulation (2002-2004), finalisation (2004-2006), and implementation (2007-2009). Three hypotheses are tested for each stage of the ENP. Two hypotheses are rooted in PA scholarship, and address the influence of the agent as an informal agenda-setter, while the third distinguishes the agent's influence between different stages of the policy development. Methodologically, the research design is based on within-case process-tracing while the empirical data is drawn from a triangulation of official documents, secondary sources and elite interviews. The thesis findings show that during the initial stages of the policy, the Commission took advantage of its favourable position (e.g. informational asymmetries and uncertainty among the member states) to establish itself as the key actor in the ENP. As the ENP evolved, the Commission’s influence has diminished while the member states, collectively and individually, became more engaged in determining the course of the policy. However, contrary to PA assumptions, member states' increased oversight over the Commission did not come as a response to disobedient behaviour. Based on the empirical data, the Commission, as an agent, was in fact trying to implement the ENP following the guidelines which were previously agreed by its principals. Thus, in the case of the ENP, my PA analysis shifts from the traditional inquiry of how principals control opportunistic agents, to examining how principals could hinder the work of the agent. This phenomenon, broadly defined by Thompson (2007) as the ‘principal problem’, is an anomaly in existing PA literature dominated by an agency-biased standpoint and has previously not been analysed in the context of the European Union. Finally, the wider implication of this thesis is that there is still room for broadening the scope of PA analysis while highlighting the necessity to keep a watchful eye on both the principals and the agent.

In recent years, cooperation between the UN and the EU in the realm of international peacekeeping has gone through major changes, including the remarkable achievement of a ‘Joint Declaration on UN-EU Cooperation in Crisis Management’ through which both organisations promised their primary role and responsibility for the maintenance of international peace and security. Although the EU has reiterated its commitment to play a decisive role as a reliable peacekeeping actor within the UN framework, the decision of the EU to not always engage in international peacekeeping operations alongside the UN is puzzling. The aim of this dissertation is to examine the major driving forces behind decision-making which may determine the likelihood of EU cooperation with the UN in international peacekeeping, by asking: ‘under what condition do EU Member States lead UN-related peacekeeping operations?’ Using a revised two-level game approach, this thesis identifies the most important chief negotiators involved in negotiations, and analyses the dynamics of decision-making between the UN and the EU on the issue of international peacekeeping at two different levels: international UN level and domestic EU level. Variables and conditions under which chief negotiator(s) are more likely to provide active leadership to drive the EU to decide to engage in a peacekeeping operation are investigated with insights from two prominent IR theories; realist and social constructivist theories. Hypotheses drawn from each theory and the roles of chief negotiators are examined in each of three cases selected: Operation Artemis (2003), EUFOR RD Congo (2006), and EUFOR Tchad/RCA (2007). With the key research outcomes from a comparative analysis of the three case studies, the thesis aims to contribute to comprehensive debates on the role of the EU as a promising partner of the UN in international peacekeeping.

The existing analyses in the literature of inter-regionalism focus on a macro perspective when they look at the relationship between inter-regional ties and global governance. They have not explored the European Union’s (EU) policy development toward the Association of South-East Asia Nations (ASEAN) in detail which affects the EU and ASEAN relationship. They have overlooked explanations and current empirical evidence regarding that relationship. This thesis analyses internal factors within the EU and external factors from ASEAN and outside of the EU which influence EU policies toward ASEAN. The internal factors are the relevant actors within the various institutional arrangements of the EU policy and the promotion of interests of the EU and those of its member states and to some extent of common EU values. The modes of engagement between the EU and ASEAN, the level of integration within ASEAN and the pressures and opportunities from ASEAN and outside the EU are the external factors. Then, this thesis assesses how, when and to what extent these factors influence the EU’s policy developments toward ASEAN and have implications for the inter-regional relationship between the two regions. I examine three EU policies toward ASEAN from 2001 to 2009:1) a new partnership with South-East Asia, 2) the joint EUASEAN monitoring mission in Aceh, and 3) an ASEAN-EU Free Trade Agreement (FTA).This thesis is based on a qualitative method of analysis and is part of problem-driven research. It employs inductive theory building from case studies as the research strategy and documents and interviews as methods of data collection. This thesis presents the variation in importance within factors which influence the EU’s policy development toward ASEAN. It highlights different kinds of interactions between factors which shape the success or failure of the EU’s policy development. The co-operative relationship between these factors is needed to conclude agreement between the two regions. However, the conflicting relationship between these factors can lead to the failure to reach agreement between them. With regard to internal factors, this thesis demonstrates that a shared common position between relevant and other related actors within each of the various institutional arrangements in the EU may assist in the conclusion of an agreement between the two regions. As EU interests takes precedence over values, the likelihood of achieving an agreement increases. With regard to external factors, this thesis argues that consultation and monitoring mechanisms have been used by the EU as its modes of engagement (as opposed to a negotiation) and they affect its policy development and enable it to reach an agreement with ASEAN. The conclusion of an agreement between the two regions can be easily achieved, when the level of integration within ASEAN remains static or weak. However, when the level of integration within ASEAN is stronger, the EU would be less likely to achieve its expected agreements with ASEAN. The conclusion of an agreement between the EU and ASEAN can be achieved when they can resolve these external pressures and take advantage of external opportunities. The trends in and implications for the EU and ASEAN relationship are as follows: first, the more the EU applies a balanced treatment of internal and external factors, then the more it will support the EU’s policy development and that will positively influence the EU and ASEAN relationship. Second, their relationship has been shifted from a hierarchical ex-colonial dynamic to a mutually interdependent partnership.

The thesis results from a research project, combining elements of European law and public international law. The project focuses on the different forms of the use of force by the European Union in the sphere of the Common Security and Defence Policy as an integral part of the EU’s common foreign and security policy. It examines the conditions under which the European Union can engage in military crisis management missions from the perspective of European Union law as well as from the perspective of public international law. The main emphasis of the thesis is put on the former, analysing the EU’s ambitions to become an international security actor from an inside-out perspective. When addressing the vertical dimension of the EU and the use of force in more detail, the thesis analyses the extent to which the Member States are constrained in the conduct of their national foreign and security policy through decisions by the European Union in the sphere of the Common Foreign and Security Policy. With regards to the EU’s legal relationship with the United Nations, the thesis examines whether and if so to what extent the European Union, although not a member of the United Nations, is bound by UN Security Council resolutions in respect of the use of force. Based on the assumption that the EU is bound by UN Security Council resolutions imposing economic sanctions, the thesis uses a comparative method in order to show that the EU as an international organisation is bound by decisions of the UN Security Council in the sense that the EU is obliged to respect the wording and limits of a UN Security Council mandate to use force once it decides to contribute with an EU mission. If the EU decides not to accept a UN Security Council mandate, the thesis argues that the EU is under the obligation not to undermine the success of a UN authorised military intervention, in the spirit of a loyalty obligation. Apart from analyzing the interaction of the EU and the international legal framework, the thesis also uses a speculative approach in order to examine the implications of silence in the context of the use of force.

This thesis explores the conditions under which the EU is an effective actor at the United Nations in the policy area of human security. Since the late 1990s, the United Nations has been increasingly active in addressing challenges posed by human security concerns. The concept of human security was introduced to emphasize the post-Cold War shift from a state-centred approach to security to an approach focused on the security of individuals. The EU is considered by some as a driving force in the UN policy process and has presented itself as a leader in the promotion of concrete initiatives to address human security challenges. This thesis seeks to examine whether the EU is truly an effective actor at the UN in human security negotiations and aims to identify conditions which influence the EU’s effectiveness. This thesis suggests that the analysis of conditions affecting the EU’s effectiveness at the UN requires the understanding of the ways in which a complex web of actors and institutions interact at three different levels: international, European Union and domestic. Using a multilevel game approach, this thesis examines the willingness of EU actors to work collectively at the UN (internal effectiveness) and the achievements of the EU’s objectives (external effectiveness). This thesis analyzes three cases of human security negotiations: 1) the ban on anti-personnel landmines, 2) the illicit trade in small arms and light weapons (SALW) and 3) the involvement of children in armed conflicts. Factors which have affected the EU’s internal and external effectiveness are identified in each of the case studies. The thesis uses qualitative methods such as expert interviews, documentary analysis and nonparticipant observation. This thesis demonstrates that, at the international level, the commitment of the EU to multilateralism can have an effect on the EU’s effectiveness in human security negotiations. The position of other key UN actors (such as the United States and the G-77) regarding a potential agreement also appears to directly influence EU Member States in achieving their objectives. The thesis argues that the use of consensus in the negotiations process can have a significant impact on the EU’s effectiveness. At the EU level, the analysis reveals that several key EU Member States channelled their efforts to convince their EU partners to act on all three issues. This thesis shows how the role of the EU presidency in coordinating the position of EU Member States can also affect the EU effectiveness in human security negotiations. The support of France, Germany and the United Kingdom, three dominant players in the EU’s Common Foreign and Security Policy, seems also particularly influential in negotiations. Finally, the case studies suggest that domestic politics can directly shape the EU’s effectiveness. Internal negotiations in EU Member States and the involvement of NGOs at the domestic level are two other factors which influence the EU’s effectiveness.