Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

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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

Volume 21, issue 4, 2013

How to reduce implicit bank debt guarantees? pp. 308-318

Sebastian Schich

Bancassurance: an insurance concept from a Irish perspective pp. 319-333

Richard Brophy

The effects of the 2008 short-sales ban pp. 334-352

Laurence Copeland and Joseph T. Elliott

Occupy risk weighting: how the minimum leverage ratio dominates capital requirements pp. 353-372

Kersten Kellermann and Carsten Schlag

The effectiveness of remuneration committees in European banks pp. 373-396

Antonio Dell'Atti, Mariantonietta Intonti and Antonia Patrizia Iannuzzi

The case for a roadmap towards financial regulatory convergence pp. 397-402

Daniel Broby

Volume 21, issue 3, 2013

Information infrastructure for systemic regulation pp. 204-216

Sharada Alampalli

Compliance function in Italian banks: organizational issues pp. 217-240

Giuliana Birindelli and Paola Ferretti

Macro and micro prudential regulatory failures between banks in the United Kingdom and Australia 2004‐2009 pp. 241-258

Alison Lui

The decline in abandoned corporate acquisitions in the UK: regulatory influences pp. 259-267

Michael McCann

Concentration and efficiency in the Vietnamese banking system between 1999 and 2009 pp. 268-283

Thao Ngoc Nguyen and Chris Stewart

Capital requirements for market risks pp. 284-304

Alberto Burchi

Volume 21, issue 2, 2013

Do loans fair value affect market value? Evidence from European banks pp. 108-120

Danilo Drago, Maria Mazzuca and Renata Trinca Colonel

Regulation of funds in Malta: the challenges ahead pp. 121-135

Christopher P. Buttigieg and Martha Chetcuti

Window dressing in mutual fund portfolios: fact or fiction? pp. 136-149

Seung Hee Choi and Maneesh Chhabria

The conundrum of legislating risk reduction through financial regulatory reform pp. 150-163

James F. Gilsinan, Neil Seitz, James Fisher, Muhammad Q. Islam and James Millar

The effects of legal protections and control‐ownership divergences on investor perceptions of foreign earnings pp. 164-187

Chen‐Lung Chin, Yu‐Ju Chen, Gary Kleinman and Picheng Lee

Meta‐regulation of OTC derivatives contracts post reform pp. 188-200

Siona Listokin‐Smith

Volume 21, issue 1, 2013

Could we rely on market discipline as a substitute for insurance regulation? pp. 4-15

Fernando Castagnolo and Gustavo Ferro

Bank failures and regulation: a critical review pp. 16-38

Mikael Petitjean

Legally scored pp. 39-50

Wen Li Chan and Hsin‐Vonn Seow

Managing compliance risk after MiFID pp. 51-68

Paola Musile Tanzi, Giampaolo Gabbi, Daniele Previati and Paola Schwizer

Setting an institutional and regulatory framework for trading platforms pp. 69-83

Diego Valiante

Co‐designing compliance to the Anti‐Money Laundering Act within the small and medium enterprise sector pp. 84-101

Ameya Kelkar and Asha Rao

Volume 20, issue 4, 2012

Will credit rating agency reforms be effective? pp. 356-366

Scott J. Boylan

Banking regulation in China: what, why, and how? pp. 367-384

Wei Ping He

Macroeconomic factors influencing UK household loan losses pp. 385-401

Minh T.H. Dinh, Andrew W. Mullineux and Peter Muriu

Follow the money pp. 402-416

Paul Cavelaars and Joost Passenier

Implementing CRD for investment firms: challenges for Malta pp. 417-432

Christopher P. Buttigieg

Non‐bank financial institutions regulation and risk‐taking pp. 433-450

Isaac Ofoeda, Joshua Abor and Charles Adjasi

Volume 20, issue 3, 2012

Development of insurance regulation in Ireland pp. 248-263

Richard Brophy

Bribery Act 2010: implications for regulated firms pp. 264-277

Peter Yeoh

Bank informational opacity: evidence from the Tunisian stock market pp. 278-292

Lassaâd Mbarek and Dorra Mezzez Hmaied

Risk management and Basel‐Accord‐implementation in Pakistan pp. 293-306

Omar Masood and John Fry

Derivatives listing strategy pp. 307-321

George Karathanasis, Vasilios Sogiakas and Kenellos Toudas

Bank failure and deposit protection in the Isle of Man pp. 322-351

Philip Morris

Volume 20, issue 2, 2012

The insufficiency of traditional safety nets: what bank resolution fund for Europe? pp. 116-146

Maria J. Nieto and Gillian G. Garcia

Towards a practical approach to responsible innovation in finance pp. 147-168

Margaret Armstrong, Guillaume Cornut, Stéphane Delacôte, Marc Lenglet, Yuval Millo, Fabian Muniesa, Alexandre Pointier and Yamina Tadjeddine

The effects of corporate governance on performance and financial distress pp. 169-181

Hussein A. Hassan Al‐Tamimi

Liquidity risk and performance of banking system pp. 182-195

Ahmed Arif and Ahmed Nauman Anees

Effective delays in portfolio disclosure pp. 196-211

Seung Hee Choi and Maneesh Chhabria

Central clearing for credit default swaps pp. 212-244

Stan Cerulus

Volume 20, issue 1, 2012

Bank regulation, governance and the crisis: a behavioral finance view pp. 4-25

Robert Grosse

Does CEO duality affect corporate performance? Evidence from the US banking crisis pp. 26-40

Robert Carty and Gail Weiss

Private action as a remedy against market manipulation in the USA pp. 41-55

Ahmad Alkhamees

The effects of violating banking regulations on the financial performance of the US banking industry pp. 56-71

Mohamad Jamal Zeidan

The efficacy of Regulation SHO in resolving naked shorts pp. 72-98

Clay M. Moffett, Robert Brooks and Jin Q. Jeon

The impact of introducing a pre‐close on the New Zealand share market pp. 99-110

John Pinfold and Danyang He