Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

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Basel II: The road ahead pp. 297-302: Jaime Caruana
European Court of Justice opens the way for pan‐European occupational pensions pp. 303-308: Jan‐Mikael Bexhed
Post‐Enron developments in UK audit and corporate governance regulation pp. 309-322: Ian P. Dewing
Case study: Where is the risk in transaction monitoring? pp. 323-328: Frank Veyder
The impact of e‐commerce developments on consumer welfare ‐ Information disclosure regimes pp. 329-348: Jennifer Hamilton and Lorna E. Gillies
Evaluating market supervision through an overview of trading halts in the Portuguese stock market pp. 349-376: João Duque and Ana Rita Fazenda

Revision of the Investment Services Directive pp. 211-218: Jonathan Herbst
The Investment Services Directive ‐ Routemap or obstacle course? pp. 219-224: Angela Knight
Individual and corporate compliance competence: An ethical approach pp. 225-235: Jonathan Edwards
All in the name of competition: European securities exchanges pp. 236-240: Paul Arlman
The Financial Services Authority and credit unions ‐ A new era in regulation? pp. 241-249: Nicholas Ryder
And then there were four: A study of UK audit market concentration ‐ causes, consequences and the scope for market adjustment pp. 250-265: Vivien Beattie, Alan Goodacre and Stella Fearnley

A brief guide to the current proposals for mortgage regulation in the UK pp. 105-112: Philip Ryley and John Virgo
The FSA approach to the supervision of outsourcing pp. 113-120: Peter McCormack
Contracts and competition in the regulation of European stock exchanges pp. 121-137: David Mayes
A brave new world: The impact of domestic and international regulation on money laundering prevention in the UK pp. 138-145: Antony Whitehouse
N2+1: A review of FSA enforcement and discipline since N2 pp. 146-150: Philip Parish
Monitoring the success of policy initiatives to increase consumer understanding of financial services pp. 151-163: James F. Devlin
Weather risk management pp. 164-168: Carole Edrich
The legal approach to investment advisers in different jurisdictions pp. 169-184: Roman Jordans
Regulatory and legal commentary pp. 185-188: Joanna Gray

Compliance competent life assurance companies: A partnership approach pp. 10-20: Jonathan Edwards
Cross‐border services into Germany pp. 21-25: Andreas Steck and Kristian Landegren
Lending decision making and the Competition Commission report on the provision of banking services to small firms pp. 26-36: John K. Ashton and Kevin Keasey
Better than best execution? The Financial Services Authority’s new proposals to reform UK best execution requirements pp. 37-44: David Capps
Banking regulation and supervision in Japan: Some issues and concerns pp. 45-59: Maximilian Hall
Crisis and fraud pp. 60-70: Pascal Blanque
The impact of regulatory change on retail financial product distribution in the UK pp. 71-80: Kevin Littler and Robert Hudson

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