Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
Bibliographic data for series maintained by Emerald Support ().

Access Statistics for this journal.
Is something missing from the series or not right? See the RePEc data check for the archive and series.

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

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