Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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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

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