Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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Volume 2, issue 4, 1994

MONEY LAUNDERING REGULATIONS IN THE PERSONAL EQUITY PLAN INDUSTRY pp. 269-277

Sheila Gates

WHAT IS COMPLIANCE? pp. 278-285

Gareth Adams

THE PIA: STOP‐GAP OR LASTING SOLUTION? pp. 286-313

Maximilian Hall

DEVELOPMENTS IN EC AND INTERNATIONAL CAPITAL ADEQUACY REGULATIONS pp. 314-322

Matthew Elderfield

CENTRAL EUROPEAN ECONOMIES AND THE FINANCES OF INTERNATIONAL ORGANISED CRIME pp. 323-330

Nicholas Ridley

CITY DISPUTES PANEL: SPECIALIST ARBITRATION FOR THE FINANCIAL SERVICES INDUSTRY pp. 331-339

Anne Crossfield

FINANCIAL DEREGULATION AND ECONOMICANOMIE pp. 340-349

Christopher Stanley

DATA PROTECTION: THE FIRST DECADE pp. 350-355

John Lamidey

Volume 2, issue 3, 1994

THE BANKING OMBUDSMAN SCHEME pp. 195-200

Catherine Clarke

PENSION TRANSFERS: AN OVERVIEW pp. 201-210

Simon Morris

PENSION TRANSFERS AND OPT‐OUTS: GUIDELINES ON HOW TO GET STARTED IN PUTTING MATTERS RIGHT pp. 211-214

Alan Brener

IMPLEMENTING COMPLIANCE AND REGULATION TRAINING pp. 215-219

Iain McLeod

THE INSURANCE OMBUDSMAN BUREAU AND FINANCIAL SERVICES DISPUTES — AN OBITUARY? pp. 220-226

Neil Munro

THE MONEY LAUNDERING REGULATIONS 1993: THEIR IMPLEMENTATION AND IMPLICATIONS FOR SECURITIES HOUSES pp. 227-233

Gary Hagland

PREPARING FOR A FIMBRA INSPECTION pp. 234-238

E. John Hamp

RECENT DEVELOPMENTS IN IMRO'S ENFORCEMENT ACTIVITIES pp. 239-247

Daniel F. Waters

THE REGULATION OF TRADE IN FINANCIAL SERVICES pp. 248-256

Peter A. Vipond

Volume 2, issue 2, 1994

GOVERNMENT AND THE FINANCIAL SERVICES INDUSTRY pp. 107-111

Alistair Darling

THE IMPACT OF THE GOODE COMMITTEE REPORT ON SMALL PENSION SCHEMES pp. 112-116

Stewart Ritchie

TESTING, MEASUREMENT AND EVALUATION TECHNIQUES IN THE TRAINING OF FINANCIAL SERVICES SALES FORCES pp. 119-124

David Wicks

AUDIT REGULATION IN THE UK: SOME PRELIMINARY OBSERVATIONS pp. 125-132

Stella Fearnley and Michael Page

FIVE WAYS OUT OF TAX: AN ANALYSIS OF AVOIDANCE DEVICES pp. 133-149

Graham Mansfield

FUTURE ROLE OF THE FINANCE DIRECTOR pp. 150-154

Roger Trapp

SETTING THE RIGHT COMPLIANCE CULTURE pp. 155-159

Peter Milroy Ma Fca

DATA PROTECTION AND THE USE OF PERSONAL DATA BY FINANCIAL INSTITUTIONS pp. 160-164

John Lamidey Mbe

INTERNATIONAL HARMONISATION OF SECURITIES LAW: AUSTRALIA'S RESPONSE pp. 165-183

Peter Willis

Volume 2, issue 1, 1993

EFFECTIVE COMPLIANCE V REGULATORY GESTATION pp. 11-21

HAGLAND AMSI MIMgt Gary

THE ACCOUNTANTS' JOINT DISCIPLINARY SCHEME pp. 22-30

Michael S. Chance

THE SEC: AN EXAMINATION OF ITS STRUCTURE, POWERS AND PROCEDURES pp. 31-41

Rowan Bosworth‐davies

ENSURING SALES FORCES PROVIDE BEST ADVICE pp. 42-47

David Nicholls

AN APPROACH TO THE INTERNAL REGULATION OF THE CORPORATION: A CRITICAL ANALYSIS OF THE RECOMMENDATIONS OF THE CADBURY COMMITTEE pp. 48-58

Christopher Stanley

REGULATORS AND OMBUDSMEN: ACCESS AND VISIBILITY pp. 59-73

Philip Giddings

COMMENT: THE GOODE REPORT pp. 77-82

Debbie Harrison

EC REGULATION OF UNDERTAKINGS FOR COLLECTIVE INVESTMENT IN TRANSFERABLE SECURITIES (UCITS) pp. 85-92

Justin Rushbrooke

Volume 1, issue 4, 1993

THE RIGHT OF REPLY TO TRANSFRONTIER TELEVISION BROADCASTS: A TWO‐SPEED EUROPE pp. 335-346

Vincent Porter and Martin Gabriel

FINANCIAL REGULATION FIVE YEARS ON: THE INVESTIGATIVE POWERS OF THE SROS pp. 347-354

Desmond High and Nalin Shah

THE NEED FOR A REGULATORY CHARTER pp. 355-363

Cento Veljanovski

SROS: A COMPLIANCE OFFICER'S PERSPECTIVE pp. 364-369

Samantha Linsley

INTERNATIONAL INVESTMENT MANAGEMENT WITHIN A REGULATORY FRAMEWORK pp. 370-375

Alan Thomas

THE ROLE OF THE COMPLIANCE OFFICER: THE INFLUENCE OF CULTURE AND COMPANY CONSTITUTION pp. 376-384

M. Cruickshanks

A DUTY TO PROTECT FROM VIOLENT BEHAVIOUR: THE HEALTH AND SAFETY AT WORK ACT 1974 AND HOSPITAL SECURITY pp. 385-394

Kenneth Rogers

GENERATING COMPETITION IN THE ELECTRICITY INDUSTRY pp. 395-402

Mark Halliley

NEGLIGENCE LAW SUITS AND THE ACCOUNTANT pp. 403-407

Roger Trapp

Volume 1, issue 3, 1993

UNITED STATES BANK FAILURE POLICY pp. 239-244

Helen A. Garten

CORPORATE MANSLAUGHTER REVIEWED pp. 245-254

Nicholas Reville

NATIONAL WASTE POLICIES IN EUROPE AND THEIR EFFECT ON THE UNITED KINGDOM PAPER AND BOARD INDUSTRY pp. 255-261

Ian Cooper

THE INSURANCE OMBUDSMAN BUREAU AND THE PUBLIC: GREAT EXPECTATIONS pp. 262-269

Caroline Mitchell

FUTURE CONCERNS IN THE REGULATION OF PRIVATE SECURITY pp. 270-276

Les Johnston

PENSIONS LAW REFORM AFTER MAXWELL: THE POSSIBLE CONTENT OF NEW PENSIONS REGULATIONS FOLLOWING THE MAXWELL CASE pp. 278-291

Robin Ellison

THE LAUTRO RULES: TRAINING AND COMPETENCE pp. 292-297

Stuart Willey

BCCI: THE LESSONS FOR BANK SUPERVISORS PART 2: DEFICIENCIES IN INTERNATIONAL SUPERVISORY ARRANGEMENTS pp. 298-313

Maximilian Hall

CHINESE WALLS: A DEVICE NOT A SOLUTION pp. 314-316

Lynn Counsell

Volume 1, issue 2, 1992

THE PHILOSOPHY AND RATIONALE OF THE FREEDOM AND RESPONSIBILITY OF THE PRESS BILL pp. 140-144

Clive Soley

A CASE AGAINST PRIVACY LEGISLATION FROM THE PERSPECTIVE OF THE REGIONAL PRESS pp. 147-154

Keith Parker

THE STRUCTURE OF CONTROLS ON THE INVASION OF PRIVACY BY THE PRESS pp. 155-162

Alex Carlisle Qc

COMPETITION AND THE REGULATION OF AUDITOR INDEPENDENCE IN THE EC pp. 163-169

Derek Ridyard and Jean de Bolle

BCCI: THE LESSONS FOR BANK SUPERVISORS PART 1: DEFICIENCIES IN NATIONAL SUPERVISORY PRACTICES AND REGULATORY FRAMEWORKS pp. 170-184

Maximilian Hall

REGULATING THE LIBERALISED TELECOMMUNICATIONS SECTOR pp. 185-192

Colin Scott

ADVOCATES' IMMUNITY FROM NEGLIGENCE ACTION pp. 193-199

Keith Richards

TOWARDS A POLICY ON FINES AND DISCIPLINE: THE DISCIPLINING RECORD OF IMRO AND THE SFA pp. 200-204

Gareth Adams

THE IMPACT OF THE COSHH REGULATIONS ON THE WORKING ENVIRONMENT pp. 205-214

Colin Purnell

WHAT IS INVESTMENT BUSINESS? pp. 215-219

Dennis Rosenthal

Volume 1, issue 1, 1992

THE SINGLE MARKET IN EUROPE: AN EXAMINATION OF THE ARRANGEMENTS FOR POLICING FINANCIAL SERVICES pp. 11-17

Michael Chance

THE WORK OF THE OMBUDSMAN pp. 18-28

Simon Denison

NEW GUIDELINES FROM THE GERMAN BUNDESBANK ON THE ISSUE OF DM‐DENOMINATED BONDS pp. 29-33

Daniela Weber‐rey

PRACTICAL TRAINING FOR COMPLIANCE OFFICERS: AN ASSESSMENT pp. 34-46

Rowan Bosworth‐davies

THE NEW SETTLEMENT UNDER THE FINANCIAL SERVICES ACT 1986 pp. 47-55

Pauline Ashall

COMPETITION AND THE PROTECTION OF CUSTOMERS IN THE WATER AND SEWERAGE INDUSTRIES — A CITIZENS' CHARTER? pp. 56-62

Allan Merry

HISTORICAL TOUCHSTONES IN THE REGULATION OF THE FINANCIAL SERVICES SECTOR: THE EVOLUTION OF FINANCIAL SERVICES REGULATION pp. 63-71

George Gilligan

FUTURES AND OPTIONS: REGULATORY AND DERIVATIVE ISSUES pp. 72-81

Iain Cullen

REGULATORY OPERATION AND MANAGEMENT: THE FUNCTIONS OF THE PROPOSED ENVIRONMENT AGENCY pp. 82-92

William Howarth

THE REGULATORY ROLE OF THE INDEPENDENT TELEVISION COMMISSION pp. 93-98

Michael Redley

REGULATION OF US DERIVATIVES AND TITLE V OF THE FUTURES TRADING PRACTICES ACT OF 1992 pp. 99-102

Thomas A. Russo and Marlisa Vinciguerra

THE STATUTORY COMMITTEE OF THE ROYAL PHARMACEUTICAL SOCIETY OF GREAT BRITAIN — THE FUNCTION OF A DISCIPLINARY BODY IN MAINTENANCE OF PROFESSIONAL STANDARDS pp. 103-109

Susan Sharpe

JUDICIAL REVIEW AND THE SACRED COW OF SELF‐REGULATION pp. 113-115

Jonathan Middleburgh

THE PRIVILEGE AGAINST SELF‐INCRIMINATION pp. 116-119

Murray Rosen

COMPLIANCE BRIEFING pp. 120-121

Matthew Weaitt