Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

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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

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

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

Volume 4, issue 4, 1996

REGULATION AND INSOLVENT BANKS pp. 324-338

Andrew Wilkinson and Dermot Turing

STRUCTURING POOLED FUNDS TO INCLUDE US INSTITUTIONAL INVESTORS pp. 339-348

Geoffrey R.T. Kenyon and Peter Marshall

STATE AID AND BANKING ACTIVITIES: THE IMPACT OF EUROPEAN COMMUNITY LAW pp. 349-356

Marc Dassesse

THE DISCLOSURE REGIME FOR UNIT TRUSTS AND OTHER NON‐LIFE PRODUCTS pp. 364-370

Colin Hawtin

THE DYNAMICS OF INTERNATIONAL BANK REGULATION pp. 371-385

Atul K. Shah

THE BROKER‐DEALER EXAMINATION PROGRAMME OF THE SEC pp. 386-394

Mary Ann Gadziala

Volume 4, issue 3, 1996

THE FUTURE OF COMPLIANCE IN RETAIL FINANCIAL SERVICES pp. 215-226

Robert Hudson, Kevin Keasey and Kevin Littler

CONTRACTUAL NETTING IN FRANCE: COMPARISON OF AFB AND ISDA TERMS pp. 227-238

Serge Durox

SPECULATIONS ON THE CONFLICT OF DISCOURSES: FINANCE, CRIME AND REGULATION pp. 239-254

Christopher Stanley

THE COLLAPSE OF BARINGS: THE LESSONS TO BE LEARNT pp. 255-277

Maximilian Hall

WHY CAPITAL ADEQUACY REGULATION FOR BANKS? pp. 278-291

Atul K. Shah

KEY DIFFERENCES IN REGULATORY APPROACHES: WHAT DO THEY MEAN IN PRACTICE? pp. 292-300

John Tattersall

Volume 4, issue 2, 1996

THE ALTERNATIVE INVESTMENT MARKET: THE REGULATORY ISSUES pp. 125-133

Tim Steadman

MARKET RISK, CORPORATE GOVERNANCE AND THE REGULATION OF FINANCIAL FIRMS pp. 134-143

Peter Casson

TRADING AND MARKET MAKING SURVEILLANCE PROGRAMME FOR THE NASDAQ STOCK MARKET pp. 144-149

John E. Jr. Pinto

EUROPEAN INVESTMENT FUNDS: THE UCITS DIRECTIVE OF 1985 AND THE OBJECTIVES OF THE PROPOSAL FOR A UCITS II DIRECTIVE pp. 150-156

Daniele Ciani

THE CHANGING NATURE OF FINANCIAL REGULATION IN IRELAND pp. 157-169

Jim Stewart

THE IMPORTANCE OF CHOICE OF LAW AND FINALITY TO PvP, NETTING AND COLLATERAL ARRANGEMENTS pp. 170-177

Randall Guynn and Margaret Tahyar

CURRENCY BROKERS AND THE DUTY OF CARE pp. 179-184

Mr J.P. Wadsworth Qc and Joanna Gray

COCKING V PRUDENTIAL ASSURANCE COMPANY LTD MACKRELL V GAN LIFE & PENSIONS PLC SILAVANT V GAN LIFE & PENSIONS PLC SZILAYAGA V TSB PENSIONS LTD AND TSB LIFE LTD PARKER V HILL SAMUEL LIFE ASSURANCE LTD GREENWOOD V IRISH LIFE ASSURANCE PLC AND MILL‐SMITH INSURANCE BROKERS LTD pp. 185-193

Honour Judge Raymond Jack QC Presiding and Joanna Gray

BOOK REVIEWS pp. 196-198

Joanna Gray

ADVANCE FEE AND PRIME BANK INSTRUMENT FRAUDS pp. 199-200

Rowan Bosworth‐Davies

Volume 4, issue 1, 1996

ECONOMIC CRIME: BEYOND GOOD AND EVIL pp. 9-14

Ian O. Angell

REGULATING DERIVATIVES: OPERATOR ERROR OR SYSTEM FAILURE? pp. 17-35

Atul K. Shah

HOW THE INVESTMENT SERVICES DIRECTIVE (ISD) IS BEING IMPLEMENTED IN THE NETHERLANDS AND WHAT IS EXPECTED pp. 36-40

Peter Bouma

COMPLIANCE CULTURE pp. 41-46

Dan Jenkinson

US CONSIDERATIONS RESPECTING FINANCIAL INSTITUTION INSOLVENCY pp. 47-66

Robert J. Rosenberg and Marla S. Becker

THE INTERNATIONAL EFFECT OF MONEY LAUNDERING LAWS pp. 67-81

Nigel Morris‐cotterill

THE CADBURY CODE ‘COMPLIANCE REPORT’ pp. 82-89

Alice Belcher

MERIDIAN GLOBAL FUNDS MANAGEMENT ASIA LTD V SECURITIES COMMISSION pp. 93-97

Keith of Kinkel, Jauncey of Tullichettle, Mustill, Lloyd of Berwick, Hoffmann and Joanna Gray

REGINA V SECURITIES AND INVESTMENTS BOARD AND ANOTHER EX PARTE INDEPENDENT FINANCIAL ADVISERS ASSOCIATION AND LIBM LTD pp. 98-103

Staughton Lj, J Mitchell and Joanna Gray

ALPINE INVESTMENTS BV V MINISTER VAN FINANCIEN pp. 104-109

Joanna Gray

BOOK REVIEWS pp. 110-112

Joanna Gray