Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

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Volume 16, issue 4, 2008

Politicians, central banks, and the shape of financial supervision architectures pp. 290-317

Lucia Dalla Pellegrina and Donato Masciandaro

Product market competition, regulation and dividend payout policy of Malaysian banks pp. 318-334

Rashid Ameer

Compliance risk in Italian banks: the results of a survey pp. 335-351

Giuliana Birindelli and Paola Ferretti

The impact of corporate fairness on the bank‐SME relationship pp. 352-364

Fatima Vegholm and Lars Silver

Waste makes haste: Sarbanes‐Oxley, competitiveness and the subprime crisis pp. 365-383

Donald Nordberg

Efficiency of authoritative disclosure recommendations pp. 384-413

Antti Miihkinen

High court rules customer who opted from private to intermediate customer status to have been contributorily negligent to his spread betting losses pp. 414-420

Joanna Gray

Court of appeal confirms decision that claim in relation to pension transfer and drawdown advice is time barred pp. 421-425

Joanna Gray

Volume 16, issue 3, 2008

Defined contribution pensions: dealing with the reluctant investor pp. 206-219

Alistair Byrne, Debbie Harrison and David Blake

Has regulation killed off the defined benefit scheme as a cost effective tool for human resource management? pp. 220-229

Robert Hudson

A review of the risks, costs and benefits of defined contribution and defined benefit pension schemes pp. 230-238

Robert Watson

The 2001‐2005 price convergence in the A‐ and H‐shares of Chinese state‐owned enterprises pp. 239-250

Thomas A. Birtch and Paul B. McGuinness

Macro stress tests and history‐based stressed PD: the case of Hong Kong pp. 251-260

Michael Wong and Yat‐fai Lam

Patterns of disclosure and volatility effects in speculative industries pp. 261-273

Phillip D. O'Shea, Andrew Worthington, David A. Griffiths and Dionigi Gerace

High court rules negligence claim in relation to pension advice in relation to income draw down scheme is time barred pp. 274-280

Joanna Gray

Financial services compensation scheme's claim for legal privilege upheld pp. 281-283

Joanna Gray

Volume 16, issue 2, 2008

Hedge fund administrators and asset valuations – does it all add up? pp. 130-141

Harry McVea

Trading strategies of the US‐based international mutual funds and test of the SEC regulation pp. 142-158

M. Imtiaz Mazumder, Edward M. Miller and Atsuyuki Naka

Developing a financial services planning profession in the UK pp. 159-172

John Gaskell and John Ashton

Implementing Basel II: an investigation of the UAE banks' Basel II preparations pp. 173-187

Hussein A. Hassan Al‐Tamimi

Lloyd's names fail in claim against government based on failure to implement insurance directive pp. 188-191

Joanna Gray

Financial services and markets tribunal rules on application of financial promotion regime pp. 192-199

Joanna Gray

Volume 16, issue 1, 2008

Lessons from the Northern Rock affair pp. 8-18

Kevin Keasey and Gianluca Veronesi

The sub‐prime crisis, the credit squeeze and Northern Rock: the lessons to be learned pp. 19-34

Maximilian Hall

The Northern Rock crisis: a multi‐dimensional problem waiting to happen pp. 35-58

David T. Llewellyn

Regulation and information asymmetry pp. 59-76

Robyn McLaughlin and Assem Safieddine

Diamond detail and gem fraud status pp. 77-84

J.D. Boles

Regulation development and MiFID impact on collective investment in Spain pp. 85-92

Begoña Torre Olmo, Sergio Sanfilippo Azofra and Carlos López Gutiérrez

A practitioner's guide to mortgage regulation pp. 93-107

Chris Cummings

European Court of Justice clarifies circumstances in which financial institutions may exchange credit information without breaching competition law pp. 108-110

Fred Houwen

Company directors' disqualification proceedings following the failure of FSA‐regulated firm pp. 111-115

Joanna Gray

Objection to terms of FSA decision notice heard by Financial Services and Markets Tribunal pp. 116-119

Joanna Gray

Volume 15, issue 4, 2007

Bank accounting and bank value: harmonising (d)effects of a common accounting culture? pp. 360-380

Ioannis Anagnostopoulos and Roger Buckland

Evidence on UK directors' compliance with disclosure timing regulations pp. 381-393

Brian Balmforth, Bruce M. Burton, Stuart R. Cross and David M. Power

How IFRS has destabilised financial reporting for UK non‐listed entities pp. 394-408

Stella Fearnley and Tony Hines

Characteristics of acquired firms: the case of the banking industry pp. 409-422

Scott I. Meisel

It's all in the data – consistent operational risk measurement and regulation pp. 423-449

Andreas Jobst

Credit default swap spread and succession events pp. 450-463

Halit Gonenc, Floris Schorer and Willem P.F. Appel

Watching the watch‐dog pp. 464-471

Richard Burger and William Dodsworth

Navigating trans‐atlantic deals: warranties, disclosure and material adverse change pp. 472-481

John Phillips, Julian Runnicles and Jeffery Schwartz

Market abuse and the commodities markets pp. 482-486

Kyri Evagora and Gerald Licnachan

Financial Ombudsman's statutory powers pp. 487-491

Joanna Gray

Volume 15, issue 3, 2007

The debate over the economic rationale for investor protection regulation: a critical appraisal pp. 236-249

Andromachi Georgosouli

Trends in Federal Reserve and Basel II A‐IRB Bank governance pp. 250-261

Elizabeth Webb

How increased enforcement can offset statutory deregulation pp. 262-274

Donald Vitaliano and Gregory P. Stella

Dynamics and regulatory system of Indian financial markets pp. 275-302

A.K. Sharma and Ashutosh Vashishtha

Who pays for banking supervision? Principles and trends pp. 303-326

Donato Masciandaro, Maria J. Nieto and Henriette Prast

Managing the competition risks of communication between competitors pp. 327-330

Fred Houwen

A principled front in the war against market abuse pp. 331-336

Richard Burger

Court of appeal ruling on discovery in civil litigation of regulatory information protected from disclosure by section 348 FSMA pp. 337-342

Joanna Gray

At FSA's application High Court orders winding‐up of UK partnership which facilitated offshore boiler room share sales to UK investors pp. 343-347

Joanna Gray

Volume 15, issue 2, 2007

The Financial Ombudsman Service: not just an alternative to court pp. 135-142

Walter Merricks

Internal audit function role in operational risk management pp. 143-155

Ana Fernández‐Laviada

A risk‐based approach to AML pp. 156-165

Jos de Wit

Mortality projections and unisex pricing of annuities in the UK pp. 166-179

Robert Hudson

Prevention of corruption – UK legislation and enforcement pp. 180-185

George Brown

Transparency proposals for European sovereign bond markets pp. 186-198

Peter Dunne

Bank deregulation and acquisition activity: the cases of the US, Italy and Germany pp. 199-209

Jens Hagendorff, Michael Collins and Kevin Keasey

Implementing AML/CFT measures that address the risks and not tick boxes pp. 210-216

Marcus Killick and David Parody

Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA pp. 217-220

Joanna Gray

The discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000 pp. 221-226

Joanna Gray

Volume 15, issue 1, 2007

Financial sector convergence and corporate governance pp. 8-19

Andy Mullineux

Reforming governance and regulation of urban cooperative banks in India pp. 20-29

Mukul G. Asher

Corporate governance in Germany pp. 30-41

Rüdiger von Rosen

Deposit insurance and credit unions: an international perspective pp. 42-62

Kevin M.G. Hannafin and Donal G. McKillop

Do risk factors matter in the IPO valuation? pp. 63-89

Khaled Abdou and Mehmet Dicle

MiFID impact on investment managers pp. 90-98

Stéphane Janin

An appraisal of the Pensions White Paper proposals pp. 99-107

Howard Flight

“If in doubt count it out!”: a review of the AIT criminal trial pp. 108-115

Samantha Hatt and Richard Burger

Financial services and markets tribunal clarifies both its own jurisdiction and the scope of market abuse pp. 116-121

Joanna Gray

Financial services and markets tribunal further clarifies scope of market abuse regime pp. 122-125

Joanna Gray