Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

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Operational risk management for financial institutions pp. 313-316: Michael Foot
Keeping dirty money and terrorist funds away: The proposed Money Laundering Regulation of the Swiss Federal Banking Commission pp. 317-328: Eva H.G. Hüpkes
Risk‐based regulation in the Financial Services Authority pp. 329-335: Carol Sergeant
Legal and regulatory protections for hedge fund investors pp. 336-340: Simon Firth and Alix Prentice
11th September and revelations from the Enron collapse add to the mounting pressure on offshore financial centres pp. 341-354: Jackie Johnson
Mindsets and consequences in corporate governance and control: Part 2 pp. 355-360: Carole Edrich
Non‐executive directors and the Higgs consultation paper, ‘Review of the role and effectiveness of non‐executive directors’ pp. 361-371: Kevin Keasey and Robert Hudson
Section 20 versus investment house underwriting of small equity initial public offerings in the USA pp. 372-384: Nancy L. Beneda

Cruickshank’s recommendations as to the future of the UK payment system pp. 209-218: John K. Ashton and Gary Boyes
Practical aspects of implementing a Basel II‐compliant economic capital framework pp. 219-223: Bert Bruggink and Eugen Buck
The 1998‐99 banking crisis in Uganda: What was the role of the new capital requirements? pp. 224-242: Paul Mpuga
FSA Consultation Paper 121 and the move to depolarisation ‐ A critical analysis pp. 243-253: Patrick Ring
Financial regulation of public limited companies in the UK: A way forward post‐Enron pp. 254-265: SteIIa Fearnley, Richard Brandt and Vivien Beattie
A fraud detection model: A must for auditors pp. 266-278: Maria Krambia‐Kapardis
Mindsets and consequences in corporate governance and control: Part 1 pp. 279-283: Carole Edrich
Senior managers and discipline pp. 284-289: Philip Ryley and John Virgo

New mindsets and new skills: The strategic importance of continuous competence in emerging financial services business models pp. 105-114: Gary Storer and Amin Rajan
Incentive compatibility and the optimal design of deposit protection schemes: An assessment of UK arrangements pp. 115-134: Maximilian Hall
To polarise or not to polarise pp. 135-140: Paul Smee
Information exchange and the offshore financial centres pp. 141-161: Richard J. Hay
The business cycle in a globalising new economy: Implications for bank regulation and monetary policy pp. 162-167: Andy Mullineux
UK energy trading regulation: The EMP regime pp. 168-176: Edward J. Swan and Darren Fox

How reliable are the recommendations of the Cruickshank Report? An assessment of market definition in UK competition analysis of retail banking markets pp. 15-21: John K. Ashton
The bank selection process and market definition in Australia pp. 22-30: Ross Jones, Jim Nielsen and Rowan Trayler
Regulation of insurance services in the Czech Republic pp. 31-36: Vladimir Mráz
Customer service, complaints management and regulatory compliance pp. 37-54: Joy Terentis, Fabian Sander, Maureen Madden, Merlin Stone and David Cox
Financial globalisation: Is it a threat to key central bank functions? The case of Mauritius pp. 55-67: John Adams
Regulation of statutory audit in the European Union: New developments pp. 68-78: Ian P. Dewing and Peter Russell

Revisions to international bank solvency standards: A UK supervisory perspective pp. 305-311: Terry Allen
Minimum capital requirements and the design of the new Basel Accord: A constructive critique pp. 312-326: Alistair Milne
A regulatory regime and the new Basel Capital Accord pp. 327-337: David T. Llewellyn
MIMIC: A proposal for deposit insurance reform pp. 338-349: James A. Wilcox
Too much regulation? pp. 350-360: Geoffrey E. Wood
‘Too big to fail’: Effects on competition and implications for banking supervision pp. 361-372: Michael Wolgast
R (on the application of Fleurose) v Securities and Futures Authority Ltd and another pp. 373-380: J Morrison and Joanna Gray
Lloyds TSB General Insurance Holdings Ltd and others v Lloyds Bank Group Insurance Co Ltd; Abbey National plc v Lee and others pp. 381-384: J Moore‐Bick

Why comply? pp. 211-217: David Jackman
The impact of the new FSA ‘Training and Competence’ requirements upon senior management and the new ‘senior management’ arrangements pp. 218-224: Chris Taylor
M&As in the financial industry: A matter of concern for bank supervisors? pp. 225-236: Michael Wolgast
Financial services and markets: Civil rights of action pp. 237-244: George Staple and Karen Anderson
The Financial Services Authority's new approach to regulation pp. 245-252: David Capps and Sam Linsley
Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part Two) pp. 253-273: Lu'ayy Minwer Al‐Rimawi
R v Secretary of State for the Environment, Transport and the Regions ex parte Holding and Barnes plc and others pp. 275-278: Slynn Lj, Nolan Lj, Hoffmann Lj, Hutton Lj, Clyde Lj and Joanna Gray
Three Rivers District Council v Governor and Company of Bank of England pp. 279-283: Steyn Lj, Hope Lj, Hutton Lj, Hobhouse Lj and Millett Lj

Cross‐border financial services and alternative dispute resolution in the European Economic Area pp. 104-110: David Thomas
A regulatory framework for community development financial institutions pp. 111-123: Andy Mullineux and Ed Mayo
Market abuse: Statutory exceptions and defences — What protection is available? pp. 124-135: Jonathan Herbst and Katie McCaw
Deposit insurance design and bank regulation in South Africa pp. 136-150: Charles C. Okeahalam and Tudor Maxwell
Regulating securities fraud: Evidence from unauthorised trading cases pp. 151-160: Michael Bowe and Gregory Jobome
The Cruickshank report on competition in UK banking: Assessment and implications pp. 161-170: Michael Wolgast
Unsuccessful judicial review: London Metal Exchange disciplinary action R v The London Metal Exchange Limited ex parte Albatros Warehousing BV pp. 171-180: Joanna Gray

An academic ombudsman pp. 11-29: Julian Farrand
Pension reform, capital markets and corporate governance in Malaysia pp. 30-37: Mukul G. Asher
Levelling the playing field in international financial markets: The Basel Accord revisited pp. 38-41: Rahul Dhumale
Financial regulation in Ireland: Should the regulator be the Central Bank? pp. 42-55: Jim Stewart
Proposed EC Directive on the distance selling of financial services pp. 56-66: Alan Davis
The theory of regulation: A review article pp. 67-80: Chibuike Ugochukwu Uche
Electronic commerce and wholesale financial services pp. 81-89: Timothy Baker
Defamation appeal: Court of Appeal rules that qualified privilege applies in respect of letter to regulator Mahon and Another v Rahn and Others pp. 91-95: Brooke Lj, Mantell Lj and Laws Lj