Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

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Volume 24, issue 4, 2016

Bad apples or corrupting barrels? Preventing traders’ misconduct pp. 366-382

Wieke Scholten and Naomi Ellemers

An international comparison of regulatory capture and regulatory outcomes pp. 383-401

John Turner, Gerard Hughes and Michelle Maher

Bank regulation and stock market stability across countries pp. 402-419

Walaa Wahid ElKelish and Jon Tucker

Limit Up–Limit Down: an effective response to the “Flash Crash”? pp. 420-429

Viktoria Dalko

Interaction among funding liquidity, liquidity creation and stock liquidity of banks pp. 430-452

Muhammad Umar and Gang Sun

Basel disclosure by private and public sector banks in India: assessment and implications pp. 453-472

Prodyot Samanta and Mohinder Dugal

Volume 24, issue 3, 2016

The insurance agents’ intention to make inappropriate product recommendations pp. 230-247

Lu-Ming Tseng, Yue-Min Kang and Chi-Erh Chung

The efficacy of market abuse regulation in the UK pp. 248-267

Brendan John Lambe

Impact of ethical screening on risk and returns pp. 268-291

Issam Bousalam and Moustapha Hamzaoui

Corporate governance mechanisms and audit delay in a joint audit regulation pp. 292-316

Mishari M. Alfraih

How the unremunerated reserve requirement by the Bank of Thailand affects IPO underpricing and the long-run performance of IPOs pp. 317-342

Kulabutr Komenkul and Dhanawat Siriwattanakul

Estimating defaults in organized security lending markets pp. 343-362

Latif Cem Osken, Ceylan Onay and Gözde Unal

Volume 24, issue 2, 2016

Assessing the Basel II internal ratings-based approach pp. 106-139

Silvio Tarca and Marek Rutkowski

The retail distribution review pp. 140-153

Patrick Ring

The effectiveness of board of directors’ characteristics in mandatory disclosure compliance pp. 154-176

Mishari M. Alfraih

The Law relating to syndicated loan agreements and its application in commercial practice pp. 177-196

Norman Mugarura

Empirical evidence on disclosure and risk-taking of banks in Ghana pp. 197-212

Lydia Kuranchie-Pong, Godfred Alufa Bokpin and Charles Andoh

Overview of the Greek value at risk (VaR) legislation framework pp. 213-226

Evangelos Vasileiou

Volume 24, issue 1, 2016

Short selling and the development of anti-shorting laws in the UK pp. 9-23

Azhar Mohamad

Revisiting the effect of regulation, supervision and risk on banking performance pp. 24-40

Houssem Rachdi and Faten Ben Bouheni

International accounting standards and accounting quality in code-law countries pp. 41-59

Ibrahim El-Sayed Ebaid

Investment funds, shadow banking and systemic risk pp. 60-73

Elias Bengtsson

Uncoupling the relationship between corruption and money laundering crimes pp. 74-89

Norman Mugarura

A conceptual framework for the Basel accords-based regulation pp. 90-103

Jaffar Mohammed Ahmed

Volume 23, issue 4, 2015

How important is territorial bias in prudential supervision and regulation? pp. 322-337

Katia D'Hulster

Strengthening credit rating integrity pp. 338-353

Mark Adelson and David Jacob

Stricter microprudential supervision versus macroprudential supervision pp. 354-368

Larry Wall

Understanding decoupling in response to corporate governance reform pressures pp. 369-382

Mario Krenn

Supervision of financial institutions pp. 383-402

Georgios Vousinas

Evaluation of post-GFC policy response of New Zealand pp. 403-414

Syrus M. Islam and Noel Yahanpath

Greek fiscal crisis and measures to safeguard financial stability pp. 415-430

Spyridon Repousis

Volume 23, issue 3, 2015

Sovereign wealth fund investments and policy implications: a survey pp. 210-229

Chen Meng

CVA: the first sign of BCBS strategic change? pp. 230-251

Mika Veli-Pekka Viljanen

Re-examination of the banking window dressing theory pp. 252-270

Evangelos Vasileiou

Adoption of Basel norms: a review of empirical evidences pp. 271-284

Mandeep Kaur and Samriti Kapoor

HSBC Swiss bank accounts-AML compliance and money laundering implications pp. 285-297

Mohammed Ahmad Naheem

To Basel or not to Basel? Banking crises and contagion pp. 298-318

Aristeidis Samitas and Stathis Polyzos

Volume 23, issue 2, 2015

The changing landscape of retirement rules of thumb pp. 106-114

Naomi E. Boyd, Davide P. Cervone, Presha E. Neidermeyer and Adolph Neidermeyer

Risk-based capital regulation revisited: evidence from the early 2000s pp. 115-134

Thomas Hogan, Neil R. Meredith and Xuhao (Harry) Pan

Shariah supervisory systems in Islamic finance institutions across the OIC member countries pp. 135-160

Rihab Grassa

Compliance and determinants of US-listed foreign firms’ 20-F filings under the new Securities and Exchange Commission accelerated deadline pp. 161-178

Kam C. Chan, Samir El-Gazzar, Rudolph A. Jacob and Picheng Lee

Risk quanta: an approach to understanding modern financial risk pp. 179-195

Jong Ho Hwang

MiFID II compliance – are we ready? pp. 196-206

Lukasz Prorokowski

Volume 23, issue 1, 2015

Effective regulatory regimes: a comparative analysis of GCC financial regulators pp. 2-17

Mohamed Ramady

Regulatory framework and deposit – investment guarantee fund in Greece pp. 18-30

Spyridon Repousis

FVA – Sailing on the uncharted waters pp. 31-54

Lukasz Prorokowski and Hubert Prorokowski

Mark-to-market and its effects on community banking during the financial crisis pp. 55-72

Hilde Patron and William J. Smith

Approaches to financial regulation in view of the crisis pp. 73-83

Alexander Stöhr

Transformation of the Ecuadorian financial system: regulation and response pp. 84-102

Luisa Ana Unda and Julie Margret

Volume 22, issue 4, 2014

Reputation risk management in financial firms: protecting (some) small investors pp. 286-299

Rasheed Saleuddin

Meeting the rationale of deposit protection system pp. 300-317

Nikoletta Kleftouri

Analyzing Russian compliance with anti-money laundering and combating the financing of terrorism, insider trading and anti-corruption laws pp. 318-327

Maria Shalimova

Evaluation of post-GFC policy response of New Zealand: non-banking perspective pp. 328-338

Noel Yahanpath and Mahbubul Islam

Compliance with Basel 2.5: banks’ approaches to implementing stressed VaR pp. 339-348

Lukasz Prorokowski and Hubert Prorokowski

Implications of online funding regulations for small businesses pp. 349-364

Peter Yeoh

Volume 22, issue 3, 2014

Economic freedom and bank efficiency: does ownership and origins matter? pp. 174-207

Fadzlan Sufian and Muzafar Shah Habibullah

Bank capital: the case against Basel pp. 208-218

Karim Pakravan

A proposal for an open-source financial risk model pp. 219-234

Jong Ho Hwang

The Investment Dealers Association of Canada’s enforcement record pp. 235-251

Mark Lokanan

Supervisory requirements and expectations for portfolio level counterparty credit risk measurement and management pp. 252-270

Michael Jacobs

Comprehensive risk measure – current challenges pp. 271-284

Lukasz Prorokowski and Hubert Prorokowski

Volume 22, issue 2, 2014

Financial services education pp. 78-95

Richard Brophy

Bank resolution costs, depositor preference and asset encumbrance pp. 96-114

Daniel C. Hardy

Do key investor information documents enhance retail investors’ understanding of financial products? Empirical evidence pp. 115-127

Andreas Oehler, Andreas Höfer and Stefan Wendt

Bank’s perspective on regulatory-driven changes to collateral management pp. 128-146

Lukasz Prorokowski

Swap futurization pp. 147-158

Lisa Smack

Distance-to-default measures and determinants for systemically important financial institutions pp. 159-172

Natalya A. Schenck

Volume 22, issue 1, 2014

Trustees and pension schemes in Ireland pp. 2-14

Jim Stewart and Bridget McNally

Shareholding in EU: is “indirect holding” approach appropriate in achieving financial integration? pp. 15-25

Georgios Kouretas and Christina Tarnanidou

The influences of sales compensations, management stringency and ethical evaluations on product recommendations made by insurance brokers pp. 26-42

Lu-Ming Tseng and Yue-Min Kang

PMI: mortgage backstop from the Alger Report to Dodd-Frank pp. 43-48

Adolph Neidermeyer, Naomi E. Boyd and Presha Neidermeyer

Stock price discreteness and clustering: decimals and ordered probit model pp. 49-60

Haksoon Kim

Game theory and sovereign wealth funds pp. 61-76

Harry McVea and Nicholas Charalambu