Journal of Financial Regulation and Compliance

1992 - 2025

Current editor(s): Prof John Ashton

From Emerald Group Publishing Limited
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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

Implementing Basel II: A case study based on the Barclays Basel II preparations pp. 297-305: Ian Wilson
Market abuse – A pan‐European approach pp. 306-314: Carmen Reynolds and Mathew Rutter
The new market abuse regime in Greece: A step towards increased market transparency or a new source of confusion? pp. 315-329: Panagiotis K. Staikouras
Seven points financial services institutions should know about IT spending for compliance pp. 330-339: Virginia Garcia
Personalities of risk/reward: Human factors of risk/reward and culture pp. 340-350: Michael Mainelli
Economic capital in the limelight pp. 351-358: Hubert Mueller and José Siberón
Corporate governance and disclosure in Africa: Issues and challenges pp. 359-370: Charles C. Okeahalam

The FSA: The first six years pp. 201-205: Michael Foot
Europe’s securities regulators working together under the new EU regulatory framework pp. 206-215: Arthur Docters van Leeuwen and Fabrice Demarigny
The compliance function in banks pp. 216-224: Jonathan Edwards and Simon Wolfe
Risk‐based capital requirements and their impact upon the banking industry: Basel II and CAD III pp. 225-239: Rosa Maria Lastra
Implementing Basel II in the Norwich and Peterborough Building Society pp. 240-247: Jeffrey Pritchard
A critical analysis of depolarisation pp. 248-262: Patrick John Ring
Management views about desired capital: The case of UK banks and building societies pp. 263-274: Isaac Alfon, Isabel Argimon and Patricia Bascuñana‐Ambros

Does regulation make it worse? pp. 106-110: David Jackman
Collective action with respect to bonds issued under German law pp. 111-117: Hendrik Haag and Daniel Weiβ
Constraints on discretion: Distributing surplus in with‐profits life insurance pp. 118-127: Chris O’Brien
Duties of insurance brokers pp. 128-131: John Virgo and Philip Ryley
Predictable pricing errors and fair value pricing of US‐based international mutual funds pp. 132-150: Timothy E. Jares and Angeline M. Lavin
Unification in financial sector supervision: The trade‐off between central bank and single authority pp. 151-169: Donato Masciandaro
Mutual fund market timing: A tale of systemic abuse and executive malfeasance pp. 170-177: James B. McCallum

Not another damned exam!?! pp. 9-13: David Bland
Developments in FSA enforcement law: From N2 to the arrival of Callum McCarthy pp. 15-21: Graham O’Connell
Basel II: Vintage 2003 pp. 22-35: Andrew Cornford
Integration of EU financial markets supervision: Harmonisation or unification? pp. 36-44: Andreas Grünbichler and Patrick Darlap
Taxation and corporate strategy in the single market pp. 45-50: Travis Barker
Has the Security and Exchange Commission’s Rule 421 made mutual fund prospectuses more accessible? pp. 51-63: Don T. Johnson
Microfinance regulation influence on small firms’ financing in Tanzania pp. 64-74: Tadeo Andrew Satta