Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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Volume 6, issue 4, 1998

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

Volume 6, issue 3, 1998

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

Volume 6, issue 2, 1998

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

Volume 6, issue 1, 1998

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

Volume 5, issue 4, 1997

A guide to rules on electronic communications in the USA pp. 291-298

Wesley L. Ringo

The impact of electronic trading on regulatory surveillance pp. 299-305

Amanda Sherwood

Electronic commerce and the Single Market in financial services in Europe: What chances for success? pp. 306-318

Philip Woolfson

Markups in equity securities deemed to be less than active and competitive pp. 319-326

John Sergio

Managing the firm‐regulator relationship pp. 327-330

Gordon McMurray

The prevention and detection of corporate fraud: An assessment of the present framework pp. 331-339

W.M. McInnes and J.E. Stevenson

Regulating for the future: Securities regulation in an automated environment pp. 340-345

Kristen N. Geyer

Cross‐border regulatory issues achieving good compliance in an international environment pp. 346-351

Fiona Fry

Strategies for ensuring compliance with the AB1 code of practice for the selling of general insurance pp. 352-357

Roger Salt

The Securities and Investments Board v Scandex Capital Management A/S & Jeremy Bartholomew‐White pp. 361-365

J Carnwath and Joanna Gray

BCCI International (Overseas) Ltd and Price Waterhouse, Ernst & Whinney, and Abu Dhabi and the Bank of England pp. 365-370

J Laddie and Joanna Gray

NM Financial Management Ltd v Marshall pp. 371-372

Butler‐Sloss Lj, Millet Lj, Thorpe Lj and Joanna Gray

Investors Compensation Scheme Ltd v West Bromwich Building Society pp. 373-375

Goff, Lloyd, Hoffman, Hope, Clyde and Joanna Gray

Volume 5, issue 3, 1997

The social dimensions of financial risk pp. 195-207

Atul K. Shah

Money laundering regulation: A bridge too far? pp. 207-214

Sue Thornhill

The regulation of financial conglomerates pp. 215-221

Gareth Adams

New developments for non‐US investment advisers doing business in the USA pp. 222-235

Marybeth Sorady

Deregulation: The impact on a compliance officer — PIA interactions pp. 236-242

Wyn Thomas

The deregulation of foreign exchange control in Japan pp. 243-248

Hiroaki Shinoda

Closing the loopholes in US regulation S for offshore offers and sales of securities pp. 249-259

Dana L. Platt and Mark J. McKeefry

Duties of unit trust trustees pp. 260-264

Stephen Lofthouse

R v PIA ombudsman & PIAex parteBurns‐Anderson Independent Network plc pp. 267-270

McCowan Lj, Millett Lj, Auld Lj and Joanna Gray

ICIC (Overseas) Ltd v Adham & Others pp. 270-272

J Harman and Joanna Gray

Armitage v Nurse & Others pp. 272-275

Hirst Lj, Millett Lj, Hutchison Lj and Joanna Gray

Volume 5, issue 2, 1997

Comments on the European Commission Green Paper — ‘Financial services: Meeting consumers' expectations’ pp. 107-114

Marc Dassesse

Labour's proposals for regulation into the 21st century pp. 115-117

Mike O'Brien

Open‐ended investment companies pp. 118-124

Paula Diggle

Comparison of interim reporting regimes between a mature and an emerging market pp. 125-135

Hannu Schadewitz and Dallas R. Blevins

Training and competence — the compliance officer's perspective pp. 136-138

Diana Miller

The Insurance Ombudsman and payment protection insurance pp. 139-145

Peter Hart

Identification and verification under the money laundering regulations: Problems with compliance pp. 146-153

Richard Stones

EU directives and their impact on netting pp. 154-162

Paolo Clarotti

Barings plc and another v Coopers & Lybrand and others pp. 165-168

Leggatt Lj, Swinton Thomas Lj, Mummery Lj and Joanna Gray

Human rights and the investigation of fraud Saunders v United Kingdom pp. 169-172

Joanna Gray

R v Institute of Chartered Accountants of England and Wales, ex parte X pp. 173-177

J Sedley and Joanna Gray

R v Investors Compensation Scheme Ltd ex parte Gerald Taylor pp. 178-180

Staughton Lj, J Tucker and Joanna Gray

Volume 5, issue 1, 1997

Cost‐benefit analysis and compliance culture pp. 16-22

Isaac Alfon

Inventory‐based stock market transparency rules pp. 23-28

John Board and Charles Sutcliffe

Proposal for a Directive on systemic risk in payment systems pp. 29-36

Marc Vereecken

Analysing systemic risk in banking and financial markets pp. 37-48

Atul K. Shah

Redrawing the regulatory map: A proposal for reform pp. 49-58

Michael Taylor

Standards and qualities expected of compliance staff pp. 59-61

Gordon McMurray

Legal update pp. 65-65

Joanna Gray

Regulatory update pp. 66-69

Joanna Gray

Banking regulation and the tort of misfeasance in public office: The difficulties in suing regulators Three Rivers District Council and others (1) Bank of Credit and Commerce International SA (in liquidation) (2) v Bank of England pp. 70-72

Joanna Gray

Ignorance of the law is no excuse for company directors Attorney General's Reference No. 1 of 1995 pp. 73-77

Joanna Gray

Assignment of individual investors' claims to the Investors Compensation Scheme declared invalid (1) Investors Compensation Scheme Ltd v West Bromwich Building Society; (2) Same v Hopkin & Sons; (3) Alford & Ors v West Bromwich Building Society; (4) Armitage v West Bromwich Building Society pp. 78-80

Joanna Gray

SIB unsuccessful in challenge to judicial review of its investigation of Interdata (UK) Ltd R v SIB ex parte Interdata (UK) Ltd pp. 81-82

Joanna Gray

Defining dishonesty: A culture clash of law and business Royal Brunei Airlines SDN BHD v Tan pp. 83-87

Joanna Gray

‘Obtaining property by deception’, mortgage fraud and funds transfer pp. 88-91

Joanna Gray

Disciplinary Action pp. 92-93

Joanna Gray