Journal of Financial Regulation and Compliance

1992 - 2026

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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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

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

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

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

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

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