Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
Bibliographic data for series maintained by Emerald Support ().

Access Statistics for this journal.
Is something missing from the series or not right? See the RePEc data check for the archive and series.

Integration, regulation, and policy of securities market infrastructures in the euro area pp. 328-347: Heiko Schmiedel and Andreas Schönenberger
European supervisory convergence: a new dynamic pp. 348-362: Michael McKee
The mortality risk of pensions – methods of control and policy implications for the UK pp. 363-374: Robert Hudson
The corporate governance of banks pp. 375-382: Andy Mullineux
Operational risk information system: a challenge for the banking sector pp. 383-401: Francisco Flores, Enrique Bónson‐Ponte and Tomás Escobar‐Rodríguez
US regulators release joint‐rule proposal regarding futures contracts on debt indexes and securities pp. 402-407: Andrew P. Cross
The usual suspects? pp. 408-410: Richard Burger and George Davies
Court castigates BCCI liquidators' claim against Bank of England pp. 411-417: Joanna Gray
Financial services and markets tribunal turns down costs application from broker whom it had earlier found not to have engaged in market abuse pp. 418-423: Joanna Gray

Executive compensation in the UK pp. 235-241: Kevin Keasey
Treating customers fairly pp. 242-253: Jonathan Edwards
Re‐thinking the regulatory environment of credit reporting pp. 254-272: Federico F. Ferretti
Reforming provident and pension fund regulation in India pp. 273-284: Mukul G. Asher and Amarendu Nandy
Product innovation and consumer choice in the UK financial services industry pp. 285-303: Laura A. Costanzo and John K. Ashton
“Are you the weakest link?” The FSA's financial crime review pp. 304-310: Richard Burger and Samantha Hatt
Financial Services and Markets Tribunal rules prohibition order is appropriate pp. 311-315: Joanna Gray
Tribunal rejects FSA allegation of market abuse pp. 316-320: Joanna Gray

A compliance competence partnership approach model pp. 140-150: Jonathan Edwards and Simon Wolfe
On the inception of sound derivative products in emerging markets pp. 151-164: Mazin A.M. Al Janabi
A review of financial and regulatory reforms in the gilt‐edged market pp. 165-173: Farooq Ahmad and David Lal
The relevance of value‐at‐risk disclosures: evidence from the LTCM crisis pp. 174-184: Niranjan Chipalkatti and Vinay Datar
The impact of the 2004 research analyst rules on hedge fund research reports pp. 185-191: Keith H. Black and John Mauldin
The effect of the SEC's regulation fair disclosure on analyst forecast attributes pp. 192-209: Rong Yang and Yaw M. Mensah
Court of Appeal rules on solicitor's liability to make redress to investors pp. 210-216: Joanna Gray
Question of legal nature of betting scheme under FSMA 2000 considered by Court of Appeal pp. 217-221: Joanna Gray

Banking supervision in a smaller financial centre – problems and recipes for success pp. 7-13: Michael Foot
FSA enforcement process review pp. 14-23: Richard Burger
Basel II – an opportunity for convergence in the EU pp. 24-28: José María Roldán
Tackling cross‐border market abuse pp. 29-36: Carlos Conceicao
The privatisation process and evolving share ownership structure of Mainland China's leading state‐owned enterprises pp. 37-46: Paul B. McGuinness
Strategies and benefits of developing a market for government securities pp. 47-56: Juan Fernando Lucio
Financial supervision in the Republic of Cyprus: the case for reform pp. 57-69: Phoebus Athanassiou
What are the perils of separating banking regulation from the central bank's orbit in Latin America and the Caribbean? pp. 70-83: Edgardo Demaestri and Federico Guerrero
Internal risk control benchmark setting for foreign exchange exposure pp. 84-111: Mazin A.M. Al Janabi
Challenges facing banking in emerging markets pp. 112-118: Iain Clacher, Joshua Doriye, Suleiman R. Mohamed and Tadeo Satta
New company law reform bill pp. 119-122: Joanna Gray
Was former chairman of Shell Group denied procedural fairness in the FSA's enforcement action against the group? pp. 123-130: Joanna Gray

Operational risk within an insurance market pp. 293-300: Stephen Manning and Andrew Gurney
How the capital market laws affect the development of venture capital industry pp. 301-312: Jarunee Wonglimpiyarat
Implementing the EU Capital Requirement Directive – key operational risk elements pp. 313-323: Andrew Sheen
The most valuable commodity I know of is information pp. 324-332: Richard Burger and George Davies
Trust and confidence in financial services: a strategic challenge pp. 333-346: David T. Llewellyn
Commission consults on revision of the European electronic money regime pp. 347-355: Bob Penn

Transparency and the disclosure of risk information in the banking sector pp. 205-214: Philip M. Linsley and Philip J. Shrives
Leveraging regulatory investments with portfolio risk-based pricing pp. 215-223: Paul Cartwright and Hanna Sarraf
Creating and implementing an effective compliance monitoring policy pp. 224-228: Hannah Marshall
Liberalisation and capital market performance: lessons from the Enron affair pp. 229-253: Rui T. Dias, M. Isabel Soares and Giuseppe Tardivo
In the absence of trust is (obey me) the only mantra? pp. 254-259: Philippa Foster Back
Informed choice: consumer preferences for information on pensions pp. 260-267: Barbara Summers, Christine Ironfield-Smith, Darren Duxbury, Robert Hudson and Kevin Keasey

The Lamfalussy process four years on pp. 110-120: Alexander Schaub
Radical plan for investment trust regulation pp. 121-131: Daniel Godfrey
Consumer debt in the UK: Attitudes and implications pp. 132-141: Christine Ironfield‐Smith, Kevin Keasey, Barbara Summers, Darren Duxbury and Robert Hudson
The interaction between FSA enforcement action and compliance culture: A help or a hindrance? pp. 142-145: Roger Turner
The impact of financial forecasts regulation on IPO anomalies: Evidence from Taiwan pp. 146-166: Ya‐Fang Wang, Picheng Lee, Chen‐Lung Chin and Gary Kleinman
The Greek three‐pillar functional system in the presence of the European Union Banking Directives pp. 167-176: Themis D. Pantos and Reza Saidi

Supporting a risk‐based anti‐money laundering approach through enforcement action pp. 10-14: Andrew Proctor
The regulatory treatment of asset securitisation: The Basel Securitisation Framework explained pp. 15-42: Andreas Jobst
Coping with the FSA’s risk‐based approach pp. 43-47: Sam Stewart
Compliance: A review pp. 48-59: Jonathan Edwards and Simon Wolfe
Doing business with the FSA pp. 60-64: Philip Robinson
Benchmarking and crosschecking international banking economic and regulatory capital pp. 65-79: John L. Simpson and John Evans
Best practices implementation in mutual funds pp. 80-86: Donald Nelson, William H. Wells, Kevin J. Perry and Donald Hanson