Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

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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

Volume 19, issue 4, 2011

Learning from pondlife and fishermen: towards a modular financial services industry pp. 312-322

Aidan Walsh

Post‐crisis financial reform: where do we stand? pp. 323-336

Alessandro Giustiniani and John Thornton

Basel III's ability to mitigate systemic risk pp. 337-354

Stefan Schwerter

The financial regulation of energy and environmental markets pp. 355-369

Ivan Diaz‐Rainey, Mathias Siems and John Ashton

Chronology of banking reforms in Nigeria pp. 370-382

Ahmad Bello Dogarawa

Systemic surcharges and measures of systemic importance pp. 383-395

Sigbjørn Atle Berg

Legality of payment protection insurance compensation arrangements examined on judicial review pp. 396-406

Joanna Gray

Volume 19, issue 3, 2011

The sleeping watch dog: aka the Securities and Exchange Commission pp. 208-221

Frank S. Perri and Richard G. Brody

The effectiveness of corporate governance policy in Greece pp. 222-243

Harilaos Mertzanis

Corporate governance legal and regulatory framework's effectiveness in Greece pp. 244-253

Themistokles Lazarides

Sarbanes Oxley's impact upon investor‐relevant risk types pp. 254-270

Nicholas V. Vakkur and Zulma J. Herrera

Voluntary risk reporting to enhance institutional and organizational legitimacy pp. 271-289

Jonas Oliveira, Lúcia Lima Rodrigues and Russell Craig

A macro‐prudential perspective of financial regulation pp. 289-297

Tristan Nguyen

Legal commentary pp. 298-306

Joanna Gray

Volume 19, issue 2, 2011

Ethical and socially responsible investment funds pp. 100-110

Robert Watson

Cause v. consequence‐based regulation: Basel III v. the Eurocodes pp. 111-116

Maximilian A. Vermorken and Alphons Th. Vermorken

Discontinued German life insurance portfolios: rules‐in‐use, interest rate risk, and Solvency II pp. 117-138

Karsten Paetzmann

Co‐operative and competitive enforced self regulation pp. 139-155

Marianne Ojo

Compensating victims of bankrupted financial institutions: a law and economic analysis pp. 156-173

Robert J. Dijkstra and Michael G. Faure

The institutional framework against money laundering and its underlying predicate crimes pp. 174-194

Norman Mugarura

Judicial review of Financial Services Compensation Scheme's exercise of power to impose compensation costs levy pp. 195-204

Joanna Gray

Volume 19, issue 1, 2011

The reforms: a political safe haven or political suicide – is the Labour bubble bursting? pp. 5-17

Clare Chambers

Global financial architecture, global imbalances and the future of the dollar in a post‐crisis world pp. 18-32

Karim Pakravan

Banking consolidation, credit crisis and asset quality in a fragile banking system pp. 33-44

Abel Ezeoha

The impact of M&A transactions from private equity and hedge funds pp. 45-57

Gerhard Wörtche and Tristan Nguyen

Firm size and compliance costs asymmetries in the investment services pp. 58-74

Giampaolo Gabbi, Paola Musile Tanzi and Loris Nadotti

The metamorphosis of insider trading in the face of regulatory enforcement pp. 75-84

Nicholas Dorn

Court of Appeal rules on trust status and client money protection in relation to Lehman Bros funds pp. 85-93

Joanna Gray