Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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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

A prospectus from the FSA: Its approach to regulation pp. 305-312: David T Llewellyn
Principles of effective regulation and supervision of banks pp. 312-319: David T Llewellyn
The new financial regulatory regime and the regulation of insurance pp. 320-325: Mark Boléat
The structure of financial regulation pp. 326-350: Richard Dale and Simon Wolfe
Finanzplatz Deutschland: Modernisation and regulatory reform pp. 351-356: Norbert Walter
The Financial Services and Markets Bill and the role of Lloyd's pp. 357-364: John Young Cbe
Gearing up for the FSA regime pp. 365-370: Simon Morris
The unified compulsory ombudsman scheme pp. 371-378: Walter Merricks
The Financial Services and Markets Bill: A legal perspective pp. 379-383: Jonathan Middleburgh
Website review pp. 385-388: Martyn Kendrick

Banking litigation strategies after Woolf pp. 211-218: David Jones‐Parry and Simon James
Achieving a coordinated approach to compliance in a global business pp. 219-223: Matthew King
Choice of law clauses in customer agreements: NASD conduct rule 3110(f)(4) pp. 224-230: Barry R. Goldsmith and Thomas B. Lawson
Fraud, prosecution and regulation: Achieving effective control pp. 231-237: Michael J. Clarke
Developments in the German equity market and its regulation pp. 238-248: Rüdiger von Rosen
Waking up to the nightmare: Winners and losers after EMU pp. 249-252: John L. Langton
Lessons from recent banking crises pp. 253-261: David T. Llewellyn
Introduction to the Website review pp. 265-268: Martyn Kendrick
BCCI (Overseas) Ltd, BCCI Holdings (Luxembourg) SA and BCCI SA (all three appellants in liquidation) v Price Waterhouse and Ernst & Whinney pp. 271-277: Joanna Gray
Century National Merchant Bank Limited and Others v Davies and Others pp. 278-285: Lords Goff of Chieveley, Lloyd of Berwick, Steyn, Hoffman and Hope of Craighead

Reducing systemic risk in payment and securities settlement systems pp. 107-134: Marc Vereecken
Financial services regulation and the Internet pp. 135-149: Heather Rowe
The new Financial Services Authority: Plans for implementation pp. 150-158: Andrew Hilton
Auditor independence and the expectations gap: Some evidence of changing user perceptions pp. 159-170: Vivien Beattie, Richard Brandt and Stella Fearnley
Joseph Gerald Taylor v Investors Compensation Scheme pp. 178-183: Beldam Lj, Potter Lj and J Balcombe
Financial Services Authority Limited (formerly the Securities and Investments Board) v Scandex and Another pp. 184-196: Hobhouse Lj, Millett Lj and Otton Lj

Direct taxation and bank disclosure in the context of the law of the European Union pp. 11-20: Nicholas Dorn and Simone White
Regulating financial reporting on the Internet pp. 21-25: Roger Hussey and James Gulliford
The future of regulation of collective investment schemes pp. 26-30: Oliver Lodge
Developments in voluntary self‐regulation pp. 31-38: Nicola Jamison
The marketing of investments pp. 39-45: Nicholas Walmsley
New opportunities to market investment funds in the USA pp. 46-58: Marybeth Sorady
Safeguarding investment in Danish mortgage bonds pp. 59-69: Jeppe Ladekarl
The insurance industry and the Financial Services Authority pp. 70-74: Mark Boléat
Malik v BCCI SA; Mahmud v BCCI SA pp. 77-80: Goff, Mackay, Mustill, Nicholls, Steyn and Joanna Gray
SIB and SFA consult on the regulatory responsibilities of senior management of firms doing investment business pp. 80-83: Joanna Gray
New developments in the changing structure of financial regulation pp. 84-85: Joanna Gray
Secretary of State for Trade and Industry v Baker & Others pp. 85-89: Richard Scott V‐c and Joanna Gray