Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

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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

Volume 14, issue 4, 2006

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

Volume 14, issue 3, 2006

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

Volume 14, issue 2, 2006

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

Volume 14, issue 1, 2006

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