Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

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Banking regulation and supervision in Tanzania, Uganda and Zambia: A review of banking sector reforms pp. 289-299: Samuel Munzele Maimbo
Raising the threshold for audit exemption for small companies: Some implications for other users of audit services pp. 300-308: Stella Fearnley, Tony Hines, Karen McBride and Richard Brandt
An ideal regulatory model for dealing with retail financial institution runs and failures pp. 309-325: R.B. Lambert and A. Simon
How to encourage whistleblowing pp. 326-332: David Crook
Education, advice, and the Financial Services Authority's statutory objective pp. 333-343: Patrick Ring
How the FSMA will impact on retail financial services pp. 344-348: Simon Morris
Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part One) pp. 349-357: Lu'ayy Minwer Al‐Rimawi
House of Lords rules on Bank of England immunity in respect of BCCI supervision Three Rivers District Council and others v Governor and Company of the Bank of England pp. 359-364: Steyn Lj, Hutton Lj, Millet Lj and Joanna Gray

Senior management responsibilities under the new regulatory regime pp. 201-209: James Bagge
Examining the new market abuse regime pp. 210-214: Gay Wisbey
Disciplinary procedure: ‘The new regime’ pp. 215-227: Philip Ryley and John Virgo
Investigation powers: ‘The new regime’ pp. 228-236: John Virgo and Philip Ryley
The Financial Services and Markets Act cross‐border issues pp. 237-255: Charles Abrams
The use of league tables in financial services pp. 256-268: Rob Jones and Kevin Keasey
Regulatory and Legal Commentary pp. 269-279: Joanna Gray

Fitness and propriety in financial services in the 21st century pp. 109-117: John Virgo and Philip Ryley
Proposals for the regulation of statutory audit in the European Union: A commentary pp. 118-130: Ian P. Dewing and Peter O. Russell
Deposit insurance: Is it a plausible option for the Eastern Caribbean Currency Union? pp. 131-139: Tracy D. Polius and Amos C. Peters
Insurance contract law and regulation and competition in the UK insurance industry: The missing link pp. 140-150: Lisa Martine Bowyer
Early warning systems: Helping to steer a safer course pp. 151-156: Allan Smith
Banking regulation in an era of structural adjustment: The case of Nigeria pp. 157-159: Chibuike Ugochukwu Uche
Desired vis‐à‐vis required interim disclosures pp. 170-179: Hannu Schadewitz, Antti J. Kanto, Hannu A. Kahra and Dallas R. Blevins
From ‘effects‐based’ regulation to a return to the reasonableness standard? pp. 181-191: Joanna Gray

Re‐Regulating banks: The unfinished agenda pp. 9-15: Andy Mullineux
Problems and politics of regulatory fragmentation: The case of the Financial Reporting Review Panel and the Institute of Chartered Accountants in England and Wales pp. 16-35: Stella Fearnley, Tony Hines, Karen McBride and Richard Brandt
Deposit insurance in theory and practice pp. 36-56: Richard Dale
Hong Kong's new compulsory stock borrowing programme pp. 57-66: Lynn Bai
Money laundering and the Internet: A challenge for regulation pp. 67-77: Rob Jones and Kevin Keasey
Mahon and another v Rahn and others pp. 78-81: Joanna Gray
Future legislation affecting financial services pp. 84-93: Lucy Inger

Liability of financial advisers for pensions mis‐selling pp. 305-322: Philip Ryley and John Virgo
Enforcing compliance with accounting standards: The role of the Financial Reporting Review Panel in the UK regulatory framework pp. 323-330: Robert E. Jupe
Going Dutch: Catch‐all insider trading pp. 331-338: Marc Groenhuijsen and François Kristen
Cost‐benefit analysis in financial regulation: How to do it and how it adds value pp. 339-352: Isaac Alfon and Peter Andrews
Minimising the cost of FSA supervision pp. 353-360: Roger Turner
European Monetary Union: Legal compliance for IT systems — Après ‘Le Weekend’ pp. 361-378: Alan Hawley
Trust status for ‘surpluses’ account set up during wind down of SFA member firm pp. 379-384: Joanna Gray
Court of Appeal rules on the scope of s.47 of the Financial Services Act 1986 pp. 385-387: Evans Lj, Ward Lj, Mummery Lj and David Capps
Website review pp. 388-391: Martyn Kendrick

Highly leveraged institutions: Possible regulatory responses pp. 209-218: Jeremy Richardson
The emerging market crisis and its aftermath in Latin America pp. 219-233: Gustavo Cañonero and Liliana Rojas-Suarez
Central banks as lenders of last resort: Lessons from the Asian contagion pp. 234-242: Rosa Maria Lastra
The Asian crisis and the process of financial contagion pp. 243-249: Franklin Allen and Douglas Gale
New Zealand's approach to bank supervision pp. 250-255: John Turner and Peter Oyelere
Supervisory reform in Japan pp. 256-269: Maximilian Hall
Bankers Trust Company and Bankers Trust International plc v PT Jakarta International Hotels & Development pp. 271-273: Joanna Gray
Asian Economic Crisis pp. 282-285: Martyn Kendrick

Papers Brazilian banking and stabilisation pp. 105-113: Roberto Luis Troster
Website review pp. 108-200: Martyn Kendrick
Czech Republic, Hungary and Poland: Development of collective investment funds and securities markets pp. 114-136: Mark St Giles
Financial liberalisation, financial crisis and the new regime: The Korean experience pp. 137-147: Yong‐Doo Cho and Dong‐Won Kim
Emerging markets of the Middle East: A critique of selected issues in Arab securities regulation pp. 149-176: Lu'ayy Minwer Al‐Rimawi
Russia: A market yet to emerge pp. 177-182: John Chown
Paths to recovery in Thailand and Indonesia pp. 183-197: Andy Mullineux, Juda Agung and Adisorn Pinijkulviwat

Risk management in insurance pp. 13-16: David E. Bland
Risk management and the retail sector: A banking perspective pp. 17-21: Tansy Hepton
Risk‐based compliance monitoring pp. 22-26: Dawn Batchelor
Risk management from a banking compliance officer's viewpoint pp. 27-30: John Fox
Audit regulation: A partial solution expanded pp. 31-47: Vivien Beattie, Richard Brandt and Stella Fearnley
Automated compliance systems pp. 48-56: Fredda E. Ackerman, R. Darrell Mounts and David U. Thomas
Corporate governance: Cadbury, Greenbury and Hampel — A review pp. 57-67: Helen Short
Website review pp. 69-72: Martyn Kendrick
In the matter of Market Wizard Systems (UK) Limited and in the matter of the Insolvency Act 1986 pp. 75-81: Joanna Gray
J. Rothschild Assurance plc v John Robert Collyear (First Defendant) and others pp. 82-89: J Rix