Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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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

US CFTC ISSUES ADVISORY APPLICABLE TO CPOS OF OFFSHORE COMMODITY POOLS pp. 357-363

M. Holland West and Diane M. Dickensheid

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

Volume 3, issue 4, 1995

OPEN‐ENDED INVESTMENT COMPANIES pp. 321-328

Susan Hodge

PRICE SENSITIVE INFORMATION AND SELF‐REGULATION BY UK COMPANIES AND FINANCIAL INSTITUTIONS — PART II pp. 329-343

John Holland

THE GOLDEN THREADS OF COMPLIANCE pp. 344-349

Alan Brener

THE PREVENTION OF MISLEADING ACCOUNTS THROUGH DISCLOSURES OF RELATED PARTY TRANSACTIONS pp. 350-357

Juliet Cottingham and Roger Hussey

THE INVESTMENT SERVICES AND CAPITAL ADEQUACY DIRECTIVES: FURTHER STEPS TOWARDS COMPLETION OF THE SINGLE EUROPEAN MARKET IN FINANCIAL SERVICES pp. 358-382

Maximilian Hall

DATA GATHERING FOR IFA ORGANISATIONS: PRACTICAL GUIDANCE AND COMMENT pp. 383-388

Marc Egerton

YASUDA FIRE & MARINE INSURANCE CO OF EUROPE LTD V ORION MARINE INSURANCE UNDERWRITING AGENCY LTD AND ANOTHER pp. 391-398

J Colman

GOLDMAN SACHS INTERNATIONAL LIMITED V PHILIP LYONS pp. 399-404

Hobhouse Stuart‐smith and Pill Ljj

CENTURY LIFE PLC V PENSIONS OMBUDSMAN BRITANNIA LIFE LTD V PENSIONS OMBUDSMAN pp. 405-408

J Dyson

Volume 3, issue 3, 1995

THE BARINGS CRISIS: SOME LESSONS FOR THE MANAGEMENT OF TRADING RISKS IN FINANCIAL INTERMEDIARIES pp. 211-221

Michael Taylor

COMPLIANCE AND INTERNAL AUDIT pp. 222-227

Peter Milroy Ma Fca

PRICE SENSITIVE INFORMATION AND SELF‐REGULATION BY UK COMPANIES AND FINANCIAL INSTITUTIONS — PART I pp. 228-249

John Holland

PENSION TRANSFERS: MANAGING COMPLIANCE pp. 250-258

John Cunliffe and Steve Mingle

UNDERSTANDING THE IMPACT OF THE INVESTMENT SERVICES AND CAPITAL ADEQUACY DIRECTIVES pp. 259-274

Beryl Mustill

ANALYSING THE NEW POWERS GIVEN TO BUILDING SOCIETIES pp. 275-279

Steve Crowther

KAUFMANN AND OTHERS V CREDIT LYONNAIS BANK pp. 283-289

Mrs Justice Arden and Joanna Gray

NEW ZEALAND GUARDIAN TRUST CO LTD V KENNETH STEWART BROOKS AND OTHERS pp. 290-293

LORD Keith of Kinkel, Lord Oliver Of Aylmerton, Lord Mustill, Lord Lloyd Of Berwick and Lord Nicholls Of Birkenhead

MELTON MEDES LTD AND ANOTHER V SECURITIES AND INVESTMENTS BOARD pp. 294-299

J Lightman and Joanna Gray

Volume 3, issue 2, 1995

WHAT IS COMPLIANCE? THE MORAL DIMENSION pp. 123-125

Michael Clarke

FORMALISM OR ANTI‐FORMALISM: REGULATION AND THE BANK OF ENGLAND pp. 129-134

Ian Robinson and Roger Hussey

INTERNAL COMPLIANCE VETTING pp. 135-140

John Hamp

THE PRACTICAL COMPLIANCE OFFICER: TECHNICALITY VERSUS COMMERCIALITY pp. 141-146

Gordon McMurray

FINANCIAL SERVICES: DRAFTING PRIVATE CLIENT AGREEMENTS pp. 147-152

Joanna Gray

THE CAPITAL ADEQUACY REGULATION OF US BROKER‐DEALERS: A COMPARATIVE ANALYSIS — PART 2 pp. 153-175

Richard Dale

BISHOPSGATE INVESTMENT MANAGEMENT LTD (IN LIQUIDATION) V HOMAN AND OTHERS pp. 179-184

Dillon, Leggatt, Henry Ljj and Joanna Gray

MORGAN GRENFELL & CO LTD V WELWYN HATFIELD DISTRICT COUNCIL (ISLINGTON LONDON BOROUGH COUNCIL, THIRD PARTY) pp. 185-190

J Hobhouse

GRANT ADAMS V THE QUEEN pp. 191-199

Lord Templeman, Lord Jauncey Of Tulichettle, Lord Browne‐wilkinson, Lord Woolf, Lord Lloyd Of Berwick and Joanna Gray

Volume 3, issue 1, 1995

THE CAPITAL ADEQUACY REGULATION OF US BROKER‐DEALERS: A COMPARATIVE ANALYSIS — PART 1 pp. 11-27

Richard Dale

A CRITICAL EVALUATION OF THE COMPLIANCE ADMINISTRATIVE CONTROL SYSTEM WITHIN ALBERT E SHARP AND ITS MOTIVATIONAL IMPACT UPON THOSE IT IS SUPPOSED TO CONTROL pp. 28-35

Gary Hagland

HOW WILL THE MONEY LAUNDERING REGULATIONS WORK? pp. 36-42

Michael Clarke

CONSUMER PROTECTION IN RETAIL INVESTMENT SERVICES: PROTECTION AGAINST WHAT? pp. 43-54

David T. Llewellyn

CIVIL DISCLOSURE AND FREEZING ORDERS: IMPACT OF US EXTRATERRITORIALITY PROVISIONS pp. 55-61

Rowan Bosworth‐davies

MANIPULATIONS AND STOCK EXCHANGE TRANSACTIONS: THE APPLICATION OF THE GERMAN CRIMINAL CODE AND INSIDER DEALING PROVISIONS pp. 62-69

Hans‐günther Nordhues

THE IMPACT OF GLOBALISATION ON TODAY'S BUSINESS, AND WHY INFORMATION SYSTEM SECURITY IS STRATEGIC pp. 70-81

Ian O. Angell

REGINA v INVESTORS COMPENSATION BOARD EX PARTE BOWDEN & ANOTHER pp. 85-91

Balcombe, Rose Ljj and J Hutchison

(1) WESTDEUTSCHE LANDESBANK GIROZENTRALE v ISLINGTON LONDON BOROUGH COUNCIL pp. 92-95

Dillon Lj, Leggatt Lj and Kennedy Lj

DEPOSIT PROTECTION BOARD v BARCLAYS BANK PLC pp. 96-102

Keith, Goff, Browne‐Wilkinson, Mustill and Lloyd